Compliance Officer (Transfer Agent/Registration)

Franklin Templeton•Baltimore, MD

1d•$125,000 - $145,000•Hybrid

About The Position

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. 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