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Compliance Analyst - Branch Inspections/FINRA Registration

Company: Franklin Templeton
Location: San Mateo
Posted on: September 21, 2022

Job Description:

At Franklin Templeton, everything we do is focused on one thing - delivering better client outcomes. We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge. Over 9,500 employees working in 34 countries around the world are dedicated to servicing investment solutions for our clients in more than 160 countries. For more than 70 years our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.What is the Global Compliance group responsible for?The Franklin Templeton Global 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.What is the Compliance Analyst responsible for?We are looking for a Compliance Analyst who is enthusiastic and capable of functioning in an efficient, meticulous, and proactive manner, in a fast-paced environment. You're motivated, eager to learn, a team player, resourceful, organized, communicative and able to leverage the managers' time by proactively completing tasks independently with integrity and strong attention to detail. Your focus will be providing support and oversight to the America's Distribution and Specialized Investment Managers.What are the ongoing responsibilities of a Compliance Analyst?

  • Manage annual branch inspections program for 42 registered branches and 175 non-registered locations
  • Conduct branch office inspections including interviewing registered personnel, document preliminary findings and authoring final reports in accordance with FINRA requirements.
  • Prepare and submit required regulatory forms for registering or termination of personnel with FINRA and NFA
  • Respond to registration issues with internal partners and regulators, including state agencies
  • Oversee FINRA outside business activity requirements and submit regulatory filings
  • Oversee the electronic storage media requirements consistent with FINRA standards
  • Revise and implement written compliance policies and procedures and annual FINRA firm element training.
  • Various ongoing initiatives and special projects, as neededWhat ideal qualifications, skills & experience would help someone to be successful?
    • 1-3 years of industry experience, with knowledge in the area of BD Compliance and FINRA/NFA registrations
    • Knowledge of the following systems: FINRA Gateway, Microsoft O365, NFA ORS, SharePoint, WorkDay
    • Good written communication skills to prepare detailed responses to business partners and regulators
    • Ability to prepare detailed reports and maintain firm books and records to satisfy regulatory requirements
    • Good oral communication skills to appropriately discuss and resolve matters with internal business partners
    • Thoroughness and attention to detail
    • Ability to travel 5-6 times per year#LI-Hybrid#ASSOCIATEWhat makes Franklin Templeton unique?In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of -the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.Highlights of our benefits include:
      • Three weeks paid time off the first year
      • Medical, dental and vision insurance
      • 401(k) Retirement Plan with 75% company match on your pre-tax and/or Roth contributions, up to the IRS limits
      • Employee Stock Investment Program
      • Tuition Assistance Program
      • Purchase of company funds with no sales charge
      • Onsite fitness center and recreation center*
      • Onsite cafeteria**Only applicable at certain locationsWe believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and . An emphasis on corporate citizenship is embedded in our , and is an important element of how we achieve success.We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, , and see what it means to say, "".Franklin Templeton is an Equal Opportunity Employer. We are committed to equal employment opportunity for all applicants and existing 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. We invite you to visit us at to learn more about our company and our career opportunities.Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation to search for, or apply for, one of our positions please send an email to . In your email, please include the accommodation you are requesting and the job title and job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only requests for accommodations will receive a response.

Keywords: Franklin Templeton, San Mateo , Compliance Analyst - Branch Inspections/FINRA Registration, Professions , San Mateo, California

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