- Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of the CCOs periodic Board materials.
- Support the CCOs and other compliance personnel in tracking new laws, regulations and industry developments. Assist the CCOs in the continuous design, management and administration of the Funds' compliance programs.
- The incumbent will have regular interaction with the Funds' Board of Trustees outside counsel, Board senior management, compliance, legal, portfolio management and operations personnel.
- Lead, manage, coordinate, and conduct periodic and annual reviews and risk assessments of aspects of the funds' compliance program, which includes the funds' Rule 38a-1 policies and due diligence of service Providers.
- Be responsible for the design, implementation and effectiveness of compliance programs across the registered fund complex.
- 5 to 7 years of mutual fund experience at an asset management preparing Board materials or law firm as a mutual fund paralegal or similar preparing Board documents.
- A Bachelor's degree from an accredited four-year college or equivalent experience
- Strong writing and organizational skills are essential. A writing test may be administered
- Strong leadership and organizational skills, project management skills, and communication skills (written and verbal) The ability to work across and with varied units of a large asset management firm, often on short deadlines
- Able to think critically and shift priorities to meet moving and demanding deadlines
- Team player
Compliance Officer - Saint Petersburg, United States - F1114 Franklin Templeton Companies, LLC
2 weeks ago
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
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. This work includes the administration and preparation of compliance reports to eight different Boards of Directors/Trustees. The team also leads our oversight of more than 20 subadvisors and service providers to the funds.