Franklin Templeton
Compliance Manager- Marketing Review
Franklin Templeton, New York, New York, us, 10261
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 Manager responsible for?
We are seeking an experienced Compliance Manager to oversee the review and approval of marketing materials to ensure compliance with regulatory standards and company policies. The ideal candidate will have a strong understanding of regulatory requirements related to marketing communications, with a focus on alternative/private funds. This individual will manage a team of Compliance Analysts and will work closely with the marketing teams to provide guidance and support.
What are the ongoing responsibilities of a Compliance Manager?
Manage team of Compliance officers who focus on private/alternative funds and complex productsAdminister Compliance policies relating to private/alternative fundsManage Compliance review of new products, marketing materials, and related issuesProvide guidance and collaborate with business colleagues (product, sales, marketing) to resolve issuesMonitor comments issued by teamProvide consultation and training to internal business partners for standards of marketing review and provide guidance to align marketing materials to corporate and regulatory standardsAct as Registered Principal for marketing materialsTrain marketing staff on rules and regulations relating to global marketing materialUtilize technology to assist the firm in achieving an efficient marketing material review processCreate summary reports to Compliance and Business Management that detail compliance findings and corrective actionsConduct spot checks of business units to verify adequate controlsAssist in drafting compliance policies and proceduresPerform successfully in team environmentWhat ideal qualifications, skills & experience would help someone to be successful?
Strong Compliance background reviewing marketing materials relating to alternative funds, digital assets, private funds, and other complex productsStrong working knowledge of global securities laws, rules, and regulations relating to marketing materialExperience managing Compliance professionalsExperience interacting with regulators (FINRA, SEC)Demonstrated ability to interact and build relationships with multiple departmentsExperience in creating and implementing Compliance policies and proceduresSolutions-oriented, problem-solver experience necessarySeries 7 and Series 24 preferred (or willing to obtain upon joining)Strong analytical and writing skillsProficiency with electronic document management software and systemsAbility to help troubleshoot and suggest process improvementsMeticulous attention to detail and exceptional organizational skillsMust possess ability to function in a demanding, fast-paced and multi-dimensional roleGood presentation and public speaking abilitiesFranklin 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 $150,000.00 - $200,000.00.
#LI-Hybrid
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:
Three weeks paid time off the first yearMedical, dental and vision insurance401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, up to the IRS limitsEmployee Stock Investment ProgramLearning and Education Assistance Program (LEAP)Purchase of company funds with no sales chargeOnsite fitness center and recreation center*Onsite cafeteria*
*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 accommodations@franklintempleton.com. 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.
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 Manager responsible for?
We are seeking an experienced Compliance Manager to oversee the review and approval of marketing materials to ensure compliance with regulatory standards and company policies. The ideal candidate will have a strong understanding of regulatory requirements related to marketing communications, with a focus on alternative/private funds. This individual will manage a team of Compliance Analysts and will work closely with the marketing teams to provide guidance and support.
What are the ongoing responsibilities of a Compliance Manager?
Manage team of Compliance officers who focus on private/alternative funds and complex productsAdminister Compliance policies relating to private/alternative fundsManage Compliance review of new products, marketing materials, and related issuesProvide guidance and collaborate with business colleagues (product, sales, marketing) to resolve issuesMonitor comments issued by teamProvide consultation and training to internal business partners for standards of marketing review and provide guidance to align marketing materials to corporate and regulatory standardsAct as Registered Principal for marketing materialsTrain marketing staff on rules and regulations relating to global marketing materialUtilize technology to assist the firm in achieving an efficient marketing material review processCreate summary reports to Compliance and Business Management that detail compliance findings and corrective actionsConduct spot checks of business units to verify adequate controlsAssist in drafting compliance policies and proceduresPerform successfully in team environmentWhat ideal qualifications, skills & experience would help someone to be successful?
Strong Compliance background reviewing marketing materials relating to alternative funds, digital assets, private funds, and other complex productsStrong working knowledge of global securities laws, rules, and regulations relating to marketing materialExperience managing Compliance professionalsExperience interacting with regulators (FINRA, SEC)Demonstrated ability to interact and build relationships with multiple departmentsExperience in creating and implementing Compliance policies and proceduresSolutions-oriented, problem-solver experience necessarySeries 7 and Series 24 preferred (or willing to obtain upon joining)Strong analytical and writing skillsProficiency with electronic document management software and systemsAbility to help troubleshoot and suggest process improvementsMeticulous attention to detail and exceptional organizational skillsMust possess ability to function in a demanding, fast-paced and multi-dimensional roleGood presentation and public speaking abilitiesFranklin 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 $150,000.00 - $200,000.00.
#LI-Hybrid
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:
Three weeks paid time off the first yearMedical, dental and vision insurance401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, up to the IRS limitsEmployee Stock Investment ProgramLearning and Education Assistance Program (LEAP)Purchase of company funds with no sales chargeOnsite fitness center and recreation center*Onsite cafeteria*
*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 accommodations@franklintempleton.com. 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.