Compliance Officer

1 month ago

Hartford, United States Templeton Asian Growth Fund, S.A. de C.V. SIRV Full time

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. The Global Compliance group is responsible for ensuring that Franklin Templeton follows all rules and regulations and that its employees follow the highest ethical and business practice standards in their day-to-day work. The Compliance Officer - Broker Dealer Sales Practices will work with Distribution Personnel and will focus on compliance with US and Latin America sales practices including: * Gifts and Entertainment * Promotion of securities * Personal trading * Sanctions for non-compliance with policies and procedures * Investigating, resolving and responding to customer complaints * Testing and monitoring of compliance with policies and procedures * Training on relevant sales practice topics * Point of compliance contact for sales teams * Proper retention of books and records * Identify risks to the firm, business conflicts of interest, and regulatory matters and provide practical solutions to the business * Conduct spot checks of business units to verify adequate controls are in place and maintain compliance with these controls pursuant to regulatory requirements * Prepare summary reports to CCO and business managers that detail compliance findings and provide corrective actions * Design and administer training of registered representatives and business units * Assist in the development of policies and procedures * Modify and maintain internal compliance procedures and firm books and records * Review and provide guidance on sales practice matters * Oversee personal trading of sales personnel utilizing exception reports * Bachelors Degree or equivalent experience * FINRA Series 7 required, Series 24 desired * Relevant compliance experience with focus on broker-dealer regulation. Areas of experience that are helpful include distribution activity, wholesaling, general sales practices, retirement and monitoring controls. * Proficient at interpreting and applying FINRA/SEC/NFA/MSRB rules and regulatory positions relating to distribution activities including sales practices and wholesaling, use of marketing materials and firm books and records * Practiced at conducting meaningful audits of business activities and controls using representative samples * Good written communication skills to prepare detailed responses to clients, business partners and regulators * Good oral communication skills to appropriately discuss and resolve matters with internal business partners and conduct training sessions * Thoroughness and attention to detail * Ability to prepare detailed reports and maintain firm books and records to satisfy regulatory requirements #LI-US #MID_SENIOR_LEVEL 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 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 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 . An emphasis on corporate citizenship is embedded in our , 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, , and see what it means to say, . 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

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.

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