Compliance Officer (Transfer Agent/Registration)
About The Position
At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique. From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success. About the Department Franklin Templeton’s Regulatory Compliance team provides oversight and guidance to the regulated entities within the organization to ensure they adhere to rules and regulations and internal policies and procedures. You’ll be responsible for supporting Franklin Templetons Transfer Agents and Franklin Distributors, LLC broker-dealer business. What is the Compliance Officer (Transfer Agent/Registration) responsible for? The Compliance Officer - Regulatory Compliance team provides compliance support and oversight to US transfer agents and America’s distribution. The Compliance Officer will assist the Compliance Manager with meeting certain compliance obligations which include regulatory filings, drafting/updating policies and procedures, and providing compliance guidance, etc.
Requirements
- 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience.
- Bachelor's degree or equivalent experience
- Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements.
- Experience developing, reviewing, and maintaining compliance policies, procedures, and controls.
- Demonstrated ability to research and interpret regulatory requirements and provide practical compliance guidance to manager and business partners.
- Proven ability to identify, assess, and mitigate compliance risks while supporting business initiatives and projects.
- Strong organizational and project management skills with the ability to effectively manage multiple priorities and deadlines in a fast-paced environment.
- Excellent written and verbal communication skills, with the ability to collaborate effectively across all levels of the organization.
- High degree of accuracy, attention to detail, and professional judgment.
- Self-motivated and proactive, with the ability to work independently and drive initiatives to completion.
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and comfort leveraging emerging technologies, including AI-enabled tools, to enhance productivity and efficiency.
Responsibilities
- Provide oversight and compliance guidance to multiple transfer agents
- Develop and update transfer agent and compliance policies and procedures
- Knowledge of transfer agent and broker-dealer regulations (SEC FINRA and NFA)
- Compile and submit routine SEC, FINRA, MSRB and NFA regulatory filings
- Assist with preparation of responses to information requests and inquiries related to regulatory information requests and examinations
- Serve as a resource to internal business partners with compliance related inquiries
- Research rules and regulations and how they apply to the different business areas
- Evaluate compliance risks and advise on projects and initiatives
Benefits
- annual discretionary bonus
- 401(k) plan with a generous match
- recognition rewards
- range of 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)
- motivational 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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Associate degree
