Compliance Officer (Transfer AgentRegistration)

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.

Franklin Templetons 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. Youll 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 Americas 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.

• 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

• You will evaluate compliance risks and advise on projects and initiatives

• 7 years of compliance regulatory transfer agency broker-dealer or related financial services experience.

• Bachelors 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.

Compensation Range: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 results. Along 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 $125000 - $145000 depending on location and level of relevant experience plus discretionary bonus.

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At Franklin Templeton we believe your benefits should support your life your goals and your future. Thats why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.

- Paid Time Off: Three weeks of PTO in your first year

- Health Coverage: Competitive medical dental and vision insurance to support your well-being

- Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions up to IRS limits

- Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities

- Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement

- Employee Investment Benefits: Opportunity to purchase company funds with no sales charge

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.