Director-Global Compliance
Share
Job Location:
New York City, NY - USA
Monthly Salary:
$ 250000 - 300000
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!
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.
What are the key responsibilities of a Compliance Director
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
What ideal qualifications skills and experience would help someone be successful
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
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
Compensation Range: Along with base compensation other compensation is offered such as a discretionary bonus 401k plan health insurance and other perks. There are several factors taken into consideration in making compensation decisions including but not limited to location job-related knowledge skills and experience. At Franklin Templeton we apply a total reward philosophy where all aspects of compensation and benefits are taken into consideration in determining compensation. We expect the base salary for this position to be between $250000.00-$300000.00
#DIRECTOR
#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:
Director
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
