Compliance Officer

  • Competitive
  • San Mateo, CA, USA
  • Permanent, Full time
  • Franklin Templeton Investments
  • 21 Nov 17 2017-11-21

Compliance Officer

Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees. We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners.

For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people. We're currently looking for qualified candidates to join our team.

Working under the general direction of the Global Compliance Manager and the Chief Compliance Officer, the Compliance Officer will provide compliance support to the U.S. Franklin/Templeton affiliated broker/dealers, an investment advisory subsidiary, and an affiliated SEC registered transfer agent.

As a valuable Global Compliance team member, your role and responsibilities will include, but not be limited to:

  • Partner with the Compliance Manager and CCO provide compliance support to the U.S. Franklin/Templeton affiliated broker/dealers, an investment advisory subsidiary, and an affiliated SEC registered transfer agent to ensure the regulated entities are in compliance with applicable SEC, FINRA, CFTC/NFA, MSRB and state rules and regulations as well as internal policies and procedures.
  • Assist in administering and implementing the Corporate Anti-Corruption Program.
  • Participate in the coordination of regulatory exams, inquiries, sweeps and investigations by SEC/FINRA/NFA and State regulators.
  • Participate in crafting the annual monitoring/testing programs which establishes testing and oversight reviews for compliance with federal, SEC, NASD, NFA and MSRB rules and regulations as well as internal procedures.
  • Conduct testing/monitoring, reporting findings and drafting recommendations to Compliance and business line management.
  • Distribute compliance information regarding all aspects of regulatory compliance to the business units.
  • A ssess the impact of new and existing regulations, develop action plans, and provide guidance to the business units.
  • Develop and update the regulatory compliance policies and procedures.
  • Participate in due diligence reviews of unaffiliated third party vendors, as needed.
  • Reviews customer complaints and assist with regulatory filings.
  • Serves as resource and respond to business units and staff on regulatory compliance related inquiries.
  • Assist business units with crafting training programs and obtaining annual certifications.
  • Provide support to the Registration Department as needed, including reviewing background checks pursuant to FINRA Rules.
  • Other ad hoc duties as assigned.

We look for:
  • General knowledge of applicable NASD, SEC, NFA and MSRB rules governing broker dealer and investment adviser responsibilities.
  • General knowledge of compliance examination techniques.
  • 4-year Bachelor's Degree.
  • Work experience with financial institutions.
  • Knowledge of 1933 Act, 1934 Act and 1940 Act preferred.
  • Good written and verbal communication skills.
  • Keen analytical skills.
  • Strong project management and interpersonal skills.
  • Proficient in MS Office applications.
  • Ability to perform multiple tasks in a fast paced team environment.
  • Ability to appropriately apply rules and regulations to varying business models.
  • Under general direction, solve problems of moderate scope and complexity.
  • Refers to industry regulations and company policies for guidance.
  • Travel may be required upon occasion to and from FTI offices.
In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards-the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.

Highlights of our benefits include:

* Three weeks paid time off the first year
* Medical, dental and vision insurance
* 401(k) Retirement Plan with 75% company match, 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

Franklin Templeton Investments is an Equal Opportunity Employer. We invite you to visit us at to learn more about our company and our career opportunities.