- Three weeks paid time off the first year
- Medical, dental and vision insurance
- 401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, 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*
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Compliance Analyst - Boston, United States - Franklin Templeton
Description
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 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)
*2-4 years of relevant experience
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
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 $90,000 - $95,000
Experience our welcoming culture and reach your professional and personal potential
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there's a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
Hear more from our employees
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life's adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton.
Highlights of our benefits include:
*Only applicable at certain locations
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing 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.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation to search for or apply for one of our positions, please send an email to In your email, please include the accommodation you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.
