Senior Compliance Officer - Investment Management-837741
At Franklin Templeton, everything we do is focused on one thing – delivering better client outcomes. We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge. Over 12,000 employees working in 34 countries around the world are dedicated to servicing investment solutions for our clients in more than 160 countries. For more than 70 years our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.
What is the Global Compliance group responsible for?
Global Compliance is responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers.
What is the Senior Compliance Officer responsible for?
The Senior Compliance officer is responsible for periodic board reporting to the director/trustees of a large fund complex. In addition, various ad hoc projects in reaction to, and anticipation of, industry trends, SEC guidance and best practices.
What are the ongoing responsibilities of a Senior Compliance Officer?
Lead, manage, coordinate, and conduct periodic and annual reviews and risk assessments of aspects of the funds' compliance program, which may include the funds' Rule 38a-1 policies and due diligence of service Providers.
Provide oversight of proprietary and outsourced mutual fund service providers.
Prepare compliance reports for the Board of Trustees of the funds and senior management.
Develop, implement, train and enforce effective current and new compliance policies and procedures in accordance with applicable laws and regulations.
Interact with senior business partners and with the Board of Directors, as well as Legal.
Be responsible for the design, implementation and effectiveness of compliance programs across the registered fund complex.
Represent the funds and their registered investment adviser with regulators in relation to registered funds advisory business.
Analyze errors and determine appropriate resolution.
What ideal qualifications, skills & experience would help someone to be successful?
A bachelor's degree or equivalent experience, advanced degree desirable
5-7 years' experience in mutual fund and/or asset management compliance, consultancy or internal audit involving some or all of the following: risk identification, controls development, control monitoring, training, and oversight of outsourced activities
Excellent knowledge of the Investment Company Act of 1940, the Investment Advisor Act of 1940 (along with related rules), and fiduciary regulatory standards/best practices for mutual funds
Excellent interpersonal, presentation, written and oral communication skills including writing board materials and presenting at board meetings
Ability to identify regulatory issues and work independently to develop solutions
Ability to liaise with all levels of management
Strong attention to detail and analytical skills
Ability to work both independently and as a core team member
Strong writing and editing skills
What makes Franklin Templeton unique?
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 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*
- Only applicable at certain locations
We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.
We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people, and see what it means to say, “I AM Franklin Templeton”.
Franklin Templeton is an Equal Opportunity Employer. We are committed to equal employment opportunity for 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. We invite you to visit us at http://www.franklintempletoncareers.com/ to learn more about our company and our career opportunities.
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 and the job title and 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 requests for accommodations will receive a response.
Legal & Compliance
United States-New York-New York