Posted 16 days ago
No clicks
Senior Compliance Analyst responsible for evaluating compliance risks, implementing risk standards, managing regulatory changes, and supporting Custom Client Solutions including the US Digital Goals Optimization Engine and Franklin Managed Options Strategy (Franklin MOST). This hybrid role requires 3 days per week in either the New York City or Stamford office with monthly travel between offices and involves collaboration with Legal, Audit, and regulators. The position expects 5–8 years of compliance or audit experience in financial services and familiarity with SEC/FINRA regulations and tools such as Power BI.
- Compensation
- $100,000 – $120,000 USD
- City
- New York City, Stamford
- Country
- United States
Currency: $ (USD)
Full Job Description
At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs.
Come join us in delivering better outcomes for our clients around the world!
This is a HYBRID position, requiring 3 days per week in either our New York City or Stamford office.
About the Department
Our Compliance team ensures the company meets regulatory standards and manages risk effectively. We work closely with business units, Legal, and Audit to maintain integrity and trust. Joining this team means gaining exposure to complex compliance challenges, collaborating with experts, and contributing to a culture of accountability and continuous improvement. You’ll be responsible for supporting the Custom Client Solutions businesses including our US Digital Goals Optimization Engine offering and Franklin Managed Options Strategy (“Franklin MOST”) businesses.
How You Will Add Value
You will evaluate compliance risks and advise on projects and initiatives.
You will implement risk standards and manage regulatory changes.
You will help create the annual Compliance Testing plan and review methodologies.
You will follow up on action plans from compliance or audit reviews.
You will challenge reporting and remediation of compliance issues.
You will recommend improvements to compliance programs and risk controls.
You will guide corrective actions and regulatory change management.
You will provide compliance guidance to front-line teams.
You will collaborate with Audit, Legal, and regulators on risk topics.
You will advise on user experience for digital onboarding and demo sites.
You will work with legal partners on client documents and websites.
What Will Help You Be Successful in This Role
Experience & Education
5–8 years in compliance or audit within financial services.
Bachelor’s degree or equivalent industry experience.
Interest in regulatory technology and fintech solutions.
Technical Skills
Strong analytical and reporting skills.
Familiarity with visualization tools (e.g., Power BI).
Knowledge of investment advisory operations and regulations (SEC, FINRA).
Soft Skills
Clear, concise communication skills.
Ability to present to senior stakeholders and regulators.
Skilled in preparing reports for management and oversight bodies.
Work Schedule & Location
Work arrangement: HYBRID in Stamford or New York City office. You WILL be required to travel between offices (NYC/Stamford) at least monthly.
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 match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $100,000 and $120,000, depending on location and level of relevant experience, plus discretionary bonus.”
#ASSOCIATE
#LI-Hybrid
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton.
Highlights of our benefits include:
Three weeks paid time off the first year
Medical, dental and vision insurance
401(k) Retirement Plan with 85% 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 locations
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and 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.
If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the 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 accommodation requests will receive a response.
