Senior Compliance Analyst
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Job Location:
Stamford, CT - USA
Monthly Salary:
$ 100000 - 120000
Posted on:
10 days ago
Vacancies:
1 Vacancy
Job Summary
At Franklin Templeton were 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 thats 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!
This is a HYBRID position requiring 3 days per week in either our New York City or Stamford office.
About the Department
Our Compliance team ensures the company meets regulatory standards and manages risk effectively. We work closely with business units Legal and Audit to maintain integrity and trust. Joining this team means gaining exposure to complex compliance challenges collaborating with experts and contributing to a culture of accountability and continuous improvement. Youll be responsible for supporting the Custom Client Solutions businesses including our US Digital Goals Optimization Engine offering and Franklin Managed Options Strategy (Franklin MOST) businesses.
How You Will Add Value
You will evaluate compliance risks and advise on projects and initiatives.
You will implement risk standards and manage regulatory changes.
You will help create the annual Compliance Testing plan and review methodologies.
You will follow up on action plans from compliance or audit reviews.
You will challenge reporting and remediation of compliance issues.
You will recommend improvements to compliance programs and risk controls.
You will guide corrective actions and regulatory change management.
You will provide compliance guidance to front-line teams.
You will collaborate with Audit Legal and regulators on risk topics.
You will advise on user experience for digital onboarding and demo sites.
You will work with legal partners on client documents and websites.
What Will Help You Be Successful in This Role
Experience & Education
58 years in compliance or audit within financial services.
Bachelors degree or equivalent industry experience.
Interest in regulatory technology and fintech solutions.
Technical Skills
Strong analytical and reporting skills.
Familiarity with visualization tools (e.g. Power BI).
Knowledge of investment advisory operations and regulations (SEC FINRA).
Soft Skills
Clear concise communication skills.
Ability to present to senior stakeholders and regulators.
Skilled in preparing reports for management and oversight bodies.
Work Schedule & Location
Work arrangement: HYBRID in Stamford or New York City office. You WILL be required to travel between offices (NYC/Stamford) at least monthly.
Franklin Templeton offers employees a competitive and valuable range of total rewardsmonetary and non-monetary designed to support their well-being and recognize their time talents and with base compensation employees are eligible for an annual discretionary bonus a 401(k) plan with a generous match and recognition rewards. We also offer a comprehensive benefits package which includes a range of competitive healthcare options insurance and 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) and a motivational wellbeing program. We expect the annual salary for this position to range between $100000 and $120000 depending on location and level of relevant experience plus discretionary bonus.
#ASSOCIATE
#LI-Hybrid
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world. Regardless of your interests lifestyle or background theres a place for you at Franklin Templeton. We provide employees with the tools resources and learning opportunities to help them excel in their career and personal life.
By joining us you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health saving for lifes adventures taking care of your family members or making a positive impact in your community we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton.
Highlights of our benefits include:
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*
*Only applicable at certain locations
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees and we evaluate qualified applicants without regard to ancestry age color disability genetic information gender gender identity or gender expression marital status medical condition military or veteran status national origin race religion sex sexual orientation and any other basis protected by federal state or local law ordinance or regulation.
If you believe that you need an accommodation or adjustment to search for or apply for one of our positions please send an email to . In your email please include the accommodation or adjustment you are requesting the job title and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.
Required Experience:
Senior IC
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Franklin Templeton Investments is a global investment manager. At the core of our business are multiple world-class investment management groups – Franklin, Templeton and Mutual Series – each operating independently and offering their distinct perspectives to financial advisors and th ... View more
