Compliance Officer – Business Analyst

Franklin Templeton

Compliance Officer supporting Franklin Templeton's growth by ensuring marketing content compliance. Managing review processes and advocating for regulatory adherence within a global asset management framework.

Posted 7/20/2026full-timeNew York City • Connecticut, Massachusetts, New York • 🇺🇸 United StatesSeniorLead💰 $130,000 - $150,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in marketing content compliance, regulatory analysis, and process improvement, with a strong focus on the SEC Marketing Rule and FINRA Advertisement regulations. Proficient in utilizing compliance monitoring tools and Microsoft Office to document processes and communicate findings effectively.

Highest-signal resume keywords

Marketing Content ComplianceRegulatory AnalysisCompliance Monitoring ToolsSEC Marketing Rule FamiliarityFINRA Series 7 or 24 Licenses

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Requirement AnalysisProcess ImprovementWorkflow MappingData AnalysisReport Writing

Soft Skills

Exceptional Written CommunicationDetail-OrientedAnalytical ThinkingProactive CollaborationAbility to Manage Competing Priorities

Tools & Technologies

Microsoft Office SuiteNorm AIRed OakGreenboardRegEdSaifrZeidler

Certifications & Qualifications

FINRA Series 7 LicenseFINRA Series 24 License

Industry Keywords

Financial Services ComplianceEMEA Regulatory KnowledgeMarketing ComplianceHeavily Regulated AdvertisingAudit Trails

About the role

Key responsibilities & impact

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
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
Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements

Requirements

What you’ll need

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, RegEd, 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

Benefits

Comp & perks

Competitive medical, dental, and vision insurance to support your well-being
401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
Three weeks of PTO in your first year
Learning Education Assistance Program (LEAP) to support your ongoing growth and career advancement
Opportunity to purchase company funds with no sales charge
Comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits
Paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays)
Motivational wellbeing program