At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals.
Our dynamic and diversified 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 offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.
Come join us in delivering better outcomes for our clients around the world!
What is the Compliance group responsible for?
Franklin Templeton’s Global Compliance team provides oversight and guidance to the various business teams who market FT’s suite of product solutions.
What is the Compliance Analyst responsible for?
The Analyst will review marketing material for consistency with US and International regulatory standards.
What are the ongoing responsibilities of a Sr. Compliance Analyst?
- Analyze marketing material, focusing on social media content, for compliance with regulatory standards including, SEC, FINRA and MSRB
- Provide consultation to internal business partners for standards of marketing review and provide guidance to align marketing materials to corporate and regulatory standards
- Act as Registered Principal for marketing materials
- Train marketing staff on rules and regulations relating to social media marketing material
- Utilize technology to assist the firm in achieving an efficient marketing material review process
- Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions
- Conduct spot checks of business units to verify adequate controls
- Assist in drafting compliance policies and procedures
- Serve as a resource to internal partners with inquiries regarding business communications
What ideal qualifications, skills & experience would help someone to be successful?
- Possess knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts, private placements)
- Series 7 and Series 24 preferred (or willing to obtain upon joining)
- Strong working knowledge of global securities laws, rules, and regulations relating to social media marketing material
- Strong analytical and writing skills
- Proficiency with electronic document management software and systems
- Experienced in using Outlook, Excel, PowerPoint, Adobe, SharePoint
- Must demonstrate the willingness to learn and work within a team environment
- Ability to help troubleshoot and suggest process improvements
- Meticulous attention to detail and exceptional organizational skills
- Must possess ability to function in a demanding, fast-paced and multi-dimensional role
- Demonstrated problem-solving skills
- High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment
- Good presentation and public speaking abilities
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