Compliance Officer (Distribution Marketing
Listed on 2026-08-18
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Finance & Banking
Regulatory Compliance Specialist
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 Global Regulatory Compliance department provides oversight, guidance and monitoring of the various teams who market Franklin Templeton’s products and services. The department sets policies and procedures, provides risk assessments guidelines, conducts reviews, and ensures compliance with applicable laws, regulations, and internal policies. The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring marketing content adheres to global regulatory standards.
This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements. How You Will Add Value Own the end-to-end marketing content compliance review processes
- Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps.
- Propose and own the roadmap for improvements, communicate compliance requirements and partner with technology and marketing teams to implement solutions.
- Act as the primary compliance owner for marketing material review systems and related process decisions.
- Manage issue resolution and escalation of issues.
- Spearhead analysis of marketing content errors and assess the impact by reviewing web clicks, email campaigns, downloads and cashflows during error period.
- Write reports with findings and remediations for senior and executive management.
- Analyze regulatory requirement changes that impact marketing content and disclosures, provide content change requirements and oversee implementation. Testing
- Conduct testing and summarize observations, control gaps, process weaknesses, or compliance issues identified during testing.
- Document remediation and ensure appropriate escalation.
- Own reporting requirements and use metrics to identify risks, trends, and opportunities for improvement. Audit Readiness & Documentation
- Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements. What Will Help You Be Successful in This Role
- Bachelor’s degree in business, economics, finance, law, or a related field.
- 7 years of experience in financial services compliance, marketing compliance, or a heavily regulated advertising environment.
- Strong familiarity with the SEC Marketing Rule and FINRA Advertisement regulations. EMEA financial services regulatory knowledge (e.g., ESMA, MiFID) is a plus.
- Proficiency in Microsoft Office suite. Experience with compliance monitoring tools (e.g., Norm AI, Red Oak, Greenboard, Reg Ed, Saifr, Zeidler) and AI tools.
- Ability to document business processes, translate complex requirements, and map out workflows.
- Exceptional written communication skills to deliver thoughtful feedback and create documentation.
- FINRA Series 7 or 24 licenses or ability to obtain within six months of starting.
- Proactive, intellectually curious, analytical, and a collaborative team player.
- Extremely detail-oriented with ability to manage competing priorities.
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…
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