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Senior Compliance Officer: Transfer Agent & Broker-Dealer
Job in
Baltimore, Anne Arundel County, Maryland, 21276, USA
Listed on 2026-08-04
Listing for:
Franklin Templeton Investments
Full Time
position Listed on 2026-08-04
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Franklin Templeton Investments is seeking a Compliance Officer for Transfer Agent/Registration to support our regulatory compliance program. The role ensures adherence to SEC, FINRA, NFA, and MSRB requirements, guiding transfer agents and broker-dealer operations.
The position emphasizes policy development, risk assessment, and cross‑functional collaboration to mitigate compliance risks while supporting business initiatives. A strong regulatory background is essential.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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