Director-Global Compliance

Franklin Templeton • New York, NY

1d • $250,000 - $300,000 • Hybrid

About The Position

At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs. Come join us in delivering better outcomes for our clients around the world! What is the Compliance Director responsible for? The Compliance Director is responsible for overseeing key broker-dealer regulatory compliance functions and leading a team of compliance professionals. This role partners closely with business stakeholders to provide strategic compliance guidance and ensure adherence to regulatory requirements across multiple business areas.

Requirements

• Minimum of 5+ years of experience in a senior compliance role within financial services
• Strong knowledge of broker-dealer rules and regulatory frameworks
• Experience with tokenization, blockchain, or digital asset-related investments
• Expertise in sales and distribution compliance

Nice To Haves

• Asset management and/or investment adviser experience preferred
• Prior people management experience preferred
• Familiarity with AI tools and understanding of their compliance and regulatory implications

Responsibilities

• Lead, mentor, and develop a team of compliance professionals
• Provide regulatory oversight for assigned business lines and activities
• Collaborate with business partners to address compliance risks and implement effective controls
• Interpret and apply broker-dealer rules and regulations to business initiatives
• Prepare and present compliance position memos, guidance, and related materials
• Support the development and enhancement of compliance policies and procedures
• Advise on emerging regulatory topics, including digital assets, tokenization, and AI-related risks

Benefits

• Along with base compensation, other compensation is offered such as a discretionary bonus, 401k plan, health insurance, and other perks.
• Three weeks paid time off the first year
• Medical, dental and vision insurance
• 401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, up to the IRS limits
• Employee Stock Investment Program
• Tuition Assistance Program
• Purchase of company funds with no sales charge
• Onsite fitness center and recreation center
• Onsite cafeteria

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees