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What is the Compliance Director responsible for?The Compliance Director is responsible for overseeing key broker-dealer regulatory compliance functions and leading a team of compliance professionals. This role partners closely with business stakeholders to provide strategic compliance guidance and ensure adherence to regulatory requirements across multiple business areas.
What are the key responsibilities of a Compliance Director?Lead, mentor, and develop a team of compliance professionals
Provide regulatory oversight for assigned business lines and activities
Collaborate with business partners to address compliance risks and implement effective controls
Interpret and apply broker-dealer rules and regulations to business initiatives
Prepare and present compliance position memos, guidance, and related materials
Support the development and enhancement of compliance policies and procedures
Advise on emerging regulatory topics, including digital assets, tokenization, and AI-related risks
Minimum of 5+ years of experience in a senior compliance role within financial services
Strong knowledge of broker-dealer rules and regulatory frameworks
Experience with tokenization, blockchain, or digital asset-related investments
Expertise in sales and distribution compliance
Asset management and/or investment adviser experience preferred
Prior people management experience preferred
Familiarity with AI tools and understanding of their compliance and regulatory implications
Compensation Range: Along with base compensation, other compensation is offered such as a discretionary bonus, 401k plan, health insurance, and other perks. There are several factors taken into consideration in making compensation decisions including but not limited to location, job-related knowledge, skills, and experience. At Franklin Templeton, we apply a total reward philosophy where all aspects of compensation and benefits are taken into consideration in determining compensation. We expect the base salary for this position to be between $250,000.00-$300,000.00
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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 [email protected]. 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.
Skills Required
- Minimum of 5+ years of experience in a senior compliance role within financial services
- Strong knowledge of broker-dealer rules and regulatory frameworks
- Experience with tokenization, blockchain, or digital asset-related investments
- Expertise in sales and distribution compliance
- Asset management and/or investment adviser experience preferred
- Prior people management experience preferred
- Familiarity with AI tools and understanding of their compliance and regulatory implications
Franklin Templeton Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Franklin Templeton and has not been reviewed or approved by Franklin Templeton.
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Retirement Support — Retirement programs include a 401(k) with employer matching, an Employee Stock Investment Plan, and financial wellness resources for long‑term savings. These elements indicate robust support for building long‑term financial security.
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Healthcare Strength — Medical, dental, and vision coverage are complemented by life, disability, and accident insurance and comprehensive wellness initiatives. Offerings such as vaccinations, screenings, and assistance programs reinforce broad health support.
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Strong & Reliable Incentives — Annual incentives and recognition programs operate within a pay‑for‑performance approach, and a “great bonus system” is described across roles. These mechanisms suggest consistent variable pay opportunities tied to performance.
Franklin Templeton Insights
What We Do
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