Compliance Officer (Business Analyst)

Franklin Templeton•Boston, MA

2d•$130,000 - $150,000•Hybrid

About The Position

Franklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the various teams who market Franklin Templeton’s products and services. The department sets policies and procedures, provides risk assessments guidelines, conducts reviews, and ensures compliance with applicable laws, regulations, and internal policies. The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring marketing content adheres to global regulatory standards. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.

Requirements

Bachelor’s degree in business, economics, finance, law, or a related field.
7 years of experience in financial services compliance, marketing compliance, or a heavily regulated advertising environment.
Strong familiarity with the SEC Marketing Rule and FINRA Advertisement regulations.
Proficiency in Microsoft Office suite.
Ability to document business processes, translate complex requirements, and map out workflows.
Exceptional written communication skills to deliver thoughtful feedback and create documentation.
FINRA Series 7 or 24 licenses or ability to obtain within six months of starting.
Proactive, intellectually curious, analytical, and a collaborative team player.
Extremely detail-oriented with ability to manage competing priorities.

Nice To Haves

EMEA financial services regulatory knowledge (e.g., ESMA, MiFID) is a plus.
Experience with compliance monitoring tools (e.g., Norm AI, Red Oak, Greenboard, RegEd, Saifr, Zeidler) and AI tools.

Responsibilities

Own the end-to-end marketing content compliance review processes
Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps.
Propose and own the roadmap for improvements, communicate compliance requirements and partner with technology and marketing teams to implement solutions.
Act as the primary compliance owner for marketing material review systems and related process decisions.
Manage issue resolution and escalation of issues.
Spearhead analysis of marketing content errors and assess the impact by reviewing web clicks, email campaigns, downloads and cashflows during error period.
Write reports with findings and remediations for senior and executive management.
Analyze regulatory requirement changes that impact marketing content and disclosures, provide content change requirements and oversee implementation.
Conduct testing and summarize observations, control gaps, process weaknesses, or compliance issues identified during testing.
Document remediation and ensure appropriate escalation.
Own reporting requirements and use metrics to identify risks, trends, and opportunities for improvement.
Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements.

Benefits

Annual discretionary bonus
401(k) plan with a generous match
Recognition rewards
Competitive healthcare options
Insurance
Disability benefits
Employee stock investment program
Learning resources
Career development programs
Reimbursement for certain education expenses
Paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays)
Wellbeing program
Three weeks of PTO in your first year
Competitive medical, dental, and vision insurance
401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
Learning Education Assistance Program (LEAP)
Opportunity to purchase company funds with no sales charge