Compliance Officer (Transfer Agent/Registration)
$125,000–$145,000 year
HybridBaltimore, Maryland, United States
Job Summary
Provide oversight and compliance guidance to multiple transfer agents while assisting the Compliance Manager with regulatory filings and policy updates. Compile and submit routine SEC, FINRA, MSRB, and NFA regulatory filings, and prepare responses to information requests and examinations. Research rules and regulations to advise on projects and initiatives, ensuring adherence to broker-dealer standards. Requires 7+ years of experience in compliance, transfer agency, or broker-dealer operations, along with a Bachelor's degree and proficiency in Microsoft Office Suite. This role supports Franklin Templeton's US transfer agents and distribution business within a hybrid environment.
Required Qualifications
- 7+ years of compliance, regulatory, transfer agency, broker-dealer, or related financial services experience
- Bachelor's degree or equivalent experience
- Working knowledge of SEC, FINRA, NFA, and MSRB rules, regulations, and regulatory reporting requirements
- Experience developing, reviewing, and maintaining compliance policies, procedures, and controls
- Demonstrated ability to research and interpret regulatory requirements and provide practical compliance guidance to manager and business partners
- Proven ability to identify, assess, and mitigate compliance risks while supporting business initiatives and projects
- Strong organizational and project management skills with the ability to effectively manage multiple priorities and deadlines in a fast-paced environment
- Excellent written and verbal communication skills, with the ability to collaborate effectively across all levels of the organization
- High degree of accuracy, attention to detail, and professional judgment
- Self-motivated and proactive, with the ability to work independently and drive initiatives to completion
- Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and comfort leveraging emerging technologies, including AI-enabled tools, to enhance productivity and efficiency
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