Compliance Officer (Business Analyst)

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.

About the Department

Franklin Templeton's Global Regulatory Compliance department provides oversight, guidance and monitoring of the various teams who market Franklin Templeton's products and services. The department sets policies and procedures, provides risk assessments guidelines, conducts reviews, and ensures compliance with applicable laws, regulations, and internal policies.

The Compliance Officer will play a critical role in supporting the firm's growth by ensuring marketing content adheres to global regulatory standards. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.

How You Will Add Value

Own the end-to-end marketing content compliance review processes

• Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps.
• Propose and own the roadmap for improvements, communicate compliance requirements and partner with technology and marketing teams to implement solutions.

Marketing Material Review Solutions

• Act as the primary compliance owner for marketing material review systems and related process decisions.
• Manage issue resolution and escalation of issues.

Error Analysis & Documentation

• Spearhead analysis of marketing content errors and assess the impact by reviewing web clicks, email campaigns, downloads and cashflows during error period.
• Write reports with findings and remediations for senior and executive management.

Disclosure maintenance

• Analyze regulatory requirement changes that impact marketing content and disclosures, provide content change requirements and oversee implementation.

Testing

• Conduct testing and summarize observations, control gaps, process weaknesses, or compliance issues identified during testing.
• Document remediation and ensure appropriate escalation.

Dashboards & Reporting

• Own reporting requirements and use metrics to identify risks, trends, and opportunities for improvement.

Audit Readiness & Documentation

• Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements.

What Will Help You Be Successful in This Role

• Bachelor's degree in business, economics, finance, law, or a related field.
• 7 years of experience in financial services compliance, marketing compliance, or a heavily regulated advertising environment.
• Strong familiarity with the SEC Marketing Rule and FINRA Advertisement regulations. EMEA financial services regulatory knowledge (e.g., ESMA, MiFID) is a plus.
• Proficiency in Microsoft Office suite. Experience with compliance monitoring tools (e.g., Norm AI, Red Oak, Greenboard, RegEd, Saifr, Zeidler) and AI tools.
• Ability to document business processes, translate complex requirements, and map out workflows.
• Exceptional written communication skills to deliver thoughtful feedback and create documentation.
• FINRA Series 7 or 24 licenses or ability to obtain within six months of starting.
• Proactive, intellectually curious, analytical, and a collaborative team player.
• Extremely detail-oriented with ability to manage competing priorities.

Compensation Range

Franklin Templeton offers employees a competitive and valuable range of total rewards-monetary 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 $130,000 - $150,000, depending on location and level of relevant experience, plus discretionary bonus.

#MID_SENIOR_LEVEL

#LI-Hybrid

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

Highlights of our benefits include

• 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.

Skills

Advertising, Analysis Skills, Artificial Intelligence (AI), Asset Management, Business Analysis, Communication Skills, Content Development, Customer Relations, Detail Oriented, Documentation, Economics, Email Campaign, Employee Benefits, Equal Employment Opportunity (EEO), Equity Securities, Financial Compliance, Financial Regulations, Financial Services, Genetics, Identify Issues, Legal, Maintain Compliance, Marketing, Marketing Software, Markets in Financial Instruments Directive (MiFID), Medical Conditions, Metrics, Problem Solving Skills, Process Improvement, Record Keeping, Regulations, Regulatory Compliance, Regulatory Requirements, Reporting Skills, Requirements Management, Risk Analysis, Securities and Exchange Commission (SEC), Series 7, Team Player, Trend Analysis, Writing Skills

About the Company

Franklin Resources Inc