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Compliance Officer - Transfer Agent & Broker-Dealer
Job in
Baltimore, Anne Arundel County, Maryland, 21276, USA
Listed on 2026-07-29
Listing for:
Franklin Templeton
Full Time
position Listed on 2026-07-29
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Franklin Templeton is seeking a Compliance Officer (Transfer Agent/Registration) in the United States to provide oversight and guidance across transfer agents and broker-dealer operations. The role includes supporting regulatory filings, policy development, and practical guidance to managers and partners.
You will help evaluate compliance risks, research regulatory requirements, and collaborate with internal teams to ensure adherence to SEC, FINRA, NFA, and MSRB rules in a fast-paced
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