Senior Compliance Analyst - Marketing Review

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 Global Compliance – US Distribution 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 Sr. Compliance Analyst – Marketing Review responsible for? 

The Senior Compliance Analyst will review marketing material and advertisements for consistency with US and International regulatory standards, and company policies. They will also assist with various operational and procedural aspects related to Alternative and Private Investment offerings (such as client on-boarding and tracking/diligence of intermediary relationships). Additionally, they offer guidance and training to marketing professionals on compliance issues and the creation of content that meets regulatory standards, thereby protecting the company's reputation and maintaining consumer trust.

What are the ongoing responsibilities of a Sr. Compliance Analyst – Marketing Review? 

• Review marketing material for compliance with regulatory standards including, SEC, FINRA and all applicable regulations

• Act as Registered Principal for marketing materials

• Collaborate with the marketing and legal teams to provide guidance on regulatory requirements and compliance best practices

• Assist with operational and procedural aspects of client on-boarding, intermediary relationships for Alternative/Private offering products

• Conduct spot checks of business units to verify adequate controls

• Conduct thorough reviews of marketing materials to ensure compliance with all applicable regulations, including FINRA, SEC, and other relevant guidelines

• Serve as a resource to internal partners with inquiries regarding business communications

• Assist in drafting compliance policies and procedures

• Utilize technology to assist the firm in achieving an efficient marketing material review process

• Assist in the preparation and submission of regulatory filings and reports as required

• Conduct compliance training sessions for staff to promote awareness and adherence to regulatory standards

• Maintain up-to-date knowledge of industry trends, regulations, and best practices

What ideal qualifications, skills & experience would help someone to be successful? 

• 3+ years of experience in a marketing compliance review role, with a focus on alternative investments, digital/crypto assets and pooled investments

• Possess knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts; with particular emphasis on Alternative investments such as private placements, digital assets, cryptocurrencies, and blockchain related investments) 

• Series 7 and Series 24 preferred (or required to obtain after joining) 

• Strong working knowledge of global securities laws, rules, and regulations relating to marketing material, especially related to SEC and FINRA marketing rules 

• 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 

• Detail-oriented with strong problem-solving abilities

• High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment 

• Bachelor’s degree in Finance, Business, Law, or related field or equivalent experience 

Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary—designed to support the whole person and to recognize their time, talents, and results. 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 salary for this position to range between $100,000.00 - $160,000.00.

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Experience our welcoming culture and reach your professional and personal potential!