Compliance Officer (Transfer Agent/Registration)

Franklin Templeton; Baltimore (MD); On-site; USD 125,000 - 145,000; Full time

Benefits offered by this job

Paid Time Off

Health Coverage

401(k) plan with generous match

Employee Stock Investment Plan

Learning Education Assistance Program

Educational reimbursement

Bereavement & volunteering leave

Wellbeing program

Job summary

Franklin Templeton seeks a Compliance Officer (Transfer Agent/Registration) to provide regulatory compliance support for US transfer agents and broker-dealer activities. The role assists with regulatory filings, policy updates, and guidance across departments.

Ideal candidates have 7+ years in compliance or related financial services, with strong knowledge of SEC/FINRA/NFA/MSRB rules and excellent communication skills.

Qualifications

• Bachelor's degree or equivalent experience.
• Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements.
• Experience developing, reviewing, and maintaining compliance policies, procedures, and controls.
• Ability to research and interpret regulatory requirements and provide practical compliance guidance.

Responsibilities

• Provide oversight and compliance guidance to multiple transfer agents.
• Develop and update transfer agent and compliance policies and procedures.
• Knowledge of transfer agent and broker-dealer regulations (SEC FINRA and NFA).
• Compile and submit routine SEC, FINRA, MSRB and NFA regulatory filings.
• Assist with preparation of responses to information requests and inquiries related to regulatory information requests and examinations.
• Serve as a resource to internal business partners with compliance related inquiries.
• Research rules and regulations and how they apply to the different business areas.
• You will evaluate compliance risks and advise on projects and initiatives.

Skills

Regulatory compliance

Transfer agent knowledge

Broker-dealer regulations

Regulatory reporting

Policy development

Risk assessment

Project management

Communication

Microsoft Office

Education

Bachelor's degree or equivalent experience

Tools

MS Office

Job description

At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique.

From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success.

About The Department

Franklin Templeton’s Regulatory Compliance team provides oversight and guidance to the regulated entities within the organization to ensure they adhere to rules and regulations and internal policies and procedures. You’ll be responsible for supporting Franklin Templetons Transfer Agents and Franklin Distributors, LLC broker-dealer business.

What is the Compliance Officer (Transfer Agent/Registration) responsible for?

The Compliance Officer - Regulatory Compliance team provides compliance support and oversight to US transfer agents and America’s distribution. The Compliance Officer will assist the Compliance Manager with meeting certain compliance obligations which include regulatory filings, drafting/updating policies and procedures, and providing compliance guidance, etc.

What are the ongoing responsibilities of a Compliance Officer – Transfer Agent/ Registration

• Provide oversight and compliance guidance to multiple transfer agents
• Develop and update transfer agent and compliance policies and procedures
• Knowledge of transfer agent and broker-dealer regulations (SEC FINRA and NFA)
• Compile and submit routine SEC, FINRA, MSRB and NFA regulatory filings
• Assist with preparation of responses to information requests and inquiries related to regulatory information requests and examinations
• Serve as a resource to internal business partners with compliance related inquiries
• Research rules and regulations and how they apply to the different business areas
• You will evaluate compliance risks and advise on projects and initiatives

What ideal qualifications, skills & experience would help someone to be successful?

• 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience.
• Bachelor's degree or equivalent experience
• Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements.
• Experience developing, reviewing, and maintaining compliance policies, procedures, and controls.
• Demonstrated ability to research and interpret regulatory requirements and provide practical compliance guidance to manager and business partners.
• Proven ability to identify, assess, and mitigate compliance risks while supporting business initiatives and projects.
• Strong organizational and project management skills with the ability to effectively manage multiple priorities and deadlines in a fast-paced environment.
• Excellent written and verbal communication skills, with the ability to collaborate effectively across all levels of the organization.
• High degree of accuracy, attention to detail, and professional judgment.
• Self-motivated and proactive, with the ability to work independently and drive initiatives to completion.
• Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and comfort leveraging emerging technologies, including AI-enabled tools, to enhance productivity and efficiency.

Compensation Range: Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $125,000 - $145,000, depending on location and level of relevant experience, plus discretionary bonus.

At Franklin Templeton, we believe your benefits should support your life, your goals, and your future. That’s why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.

Highlights Of Our Benefits Include

• Paid Time Off: Three weeks of PTO in your first year
• Health Coverage: Competitive medical, dental, and vision insurance to support your well-being
• Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
• Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
• Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement
• Employee Investment Benefits: Opportunity to purchase company funds with no sales charge

Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and 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.