Regulatory Affairs Officer

About the role

The Regulatory Affairs Officer will help ensure compliance with fast-changing US rules and regulations, including advising on potential strategic impact and coordinating internal groups to implement changes and ensure proper internal controls.

Responsibilities

• Monitors US regulatory environment, including SEC proposals and industry news; assesses potential impact on global firm; drafts summaries for internal and potentially external purposes;
• Advise on strategic implication of new and changing policies and regulations;
• Assists with developing and implementing strategies to address policy and procedure changes for regulatory rules;
• Drafts real-time updates to Compliance Manual;
• Reviews and proposes necessary changes to Compliance Manual policies on at least an annual basis;
• Drafts internal alerts on key regulatory changes and assists with training activities;
• Oversees compliance testing, including for thematic issues, and drafts reports for senior management on findings;
• Collaborates with Legal, Client Service, Enterprise Risk, Investment Management and other internal groups to ensure readiness for new rules and regulations, as well as for ad-hoc requests;
• Develops and maintains professional relationships in federal, state and local regulatory agencies, and with industry groups;
• Performs special projects for Legal and Compliance team, as needed.

Requirements

• A minimum of 7 plus years of legal or compliance experience;
• Five plus years of financial industry experience;
• Experience with U.S. regulatory rule making agency or financial services trade organization a plus;
• General Fixed-income background;
• Knowledge of applicable regulations, and ability to stay current on regulations in fast-moving regulatory environment;
• Knowledge of compliance systems, policies and procedures;
• Experience interpreting and assessing impact of regulatory proposals and legal documents;
• Good organizational skills, fast learner, with the ability to self-start, multitask, and prioritize;
• Eye for detail and eager to play a part in the broader legal and compliance function;
• Strong analytical and problem-solving skills;
• Client oriented and able to interact with staff members of all levels;
• Team player, keen to learn from others and energized by continued professional development;
• Service-oriented attitude, with ability to provide timely responses to business requests.

Qualifications

• Knowledge of applicable regulations, and ability to stay current on regulations in fast-moving regulatory environment;
• Good organizational skills, fast learner, with the ability to self-start, multitask, and prioritize;
• Eye for detail and eager to play a part in the broader legal and compliance function;
• Strong analytical and problem-solving skills;
• Client oriented and able to interact with staff members of all levels;
• Team player, keen to learn from others and energized by continued professional development;
• Service-oriented attitude, with ability to provide timely responses to business requests.

Skills

• Ability to interpret and assess impact of regulatory proposals and legal documents;
• Knowledge of compliance systems, policies and procedures;
• Good organizational skills, fast learner, with the ability to self-start, multitask, and prioritize;
• Eye for detail and eager to play a part in the broader legal and compliance function;
• Strong analytical and problem-solving skills;
• Client oriented and able to interact with staff members of all levels;
• Team player, keen to learn from others and energized by continued professional development;
• Service-oriented attitude, with ability to provide timely responses to business requests.

Benefits

Franklin Templeton offers a comprehensive Total Rewards package designed to support your well-being and recognize your time, talents, and results. Highlights include:

• Paid Time Off: Three weeks of PTO in your first year;
• Health Coverage: Competitive medical, dental, and vision insurance;
• Retail Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits;
• Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities;
• Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement;
• Employee Investment Benefits: Opportunity to purchase company funds with no sales charge;
• Wellbeing Program: Motivational wellbeing program.

Pay

The annual salary for this position ranges between $128,000 – $150,000, depending on location and level of relevant experience, plus discretionary bonus.

Schedule

This role will work a hybrid schedule in our Pasadena office, 4 days/week.