Job Details

Director - Global Marketing Compliance

Company name

Franklin Templeton Investments.

Organization Type

In-House

Job Type

Legal Staff

Date Last Verified

Mar 12, 2020

Valid Through

Jun 25, 2020

Posted on

Oct 03, 2019

Years of Experience

Min 10 yrs required

Location

Saint Petersburg, FL, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - General
Apply for this job
 
Your Email:
Upload Resume:
 

Profile

Director - Global Marketing Compliance
The candidate will be responsible for setting standards, reviewing, advising, analyzing, and evaluating global communications content (which includes advertising, digital, social and other marketing) to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, guide internal marketing teams on the compliance for projects and customer facing communications to ensure company meets requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies. Lead a small expert team that is the central point of contact for marketing material reviews across the US and regional marketing teams around the world.Work closely with other members of the Legal & Compliance department and with the marketing department to review and approve marketing materials and other client communications to ensure that they comply with the Advisers Act, Investment Company Act, FINRA and other applicable international regulatory requirements and internal compliance policies. Assist in the review and maintenance of standard materials (Fund materials, pitch books, factsheets, social media, advertising, etc.). Develop and maintain strong relationships with representatives at different agencies (e.g. SEC, FINRA). Maintain advanced understanding of the communications rules for each marketing channel, audience and product vehicle.Keep current on changing regulations to guide team. Serve as the point of contact and coordinator for any audits requested by the regulatory bodies or internal groups. Coordinate and manage the review of marketing materials by other members of the global Legal & Compliance department, as necessary. Act as the main marketing contact in the Legal & Compliance department. Effectively and diplomatically manage competing priorities and provide guidance with respect to the regulatory requirements and our fiduciary responsibility to clients to the marketing department, the portfolio management teams, the sales teams and other firm personnel. Develop, implement, update and maintain training and monitoring processes in partnership with the licensed Principals in the group who provide final sign-off of materials to ensure ongoing compliance of the marketing materials and anticipate, manage, and reduce risk to the business as they relate to client communications.

Qualification and Experience

The candidate should have a Bachelor's degree. Legal degree is desired. Other post-graduate degrees are a plus. Must have 10+ years of asset management experience, in a related function - paralegal, marketing reviewer, marketing developer with a strong interest in building a smooth function around material reviews. Should also have 5 years of supervisory experience. Prior compliance or paralegal experience is a must.

Additional info

Ref. #: 830672

Company info

Hiring Coordinator
Franklin Templeton Investments.
100 Fountain Parkway
Saint Petersburg, FL 33716

Similar Jobs:

Commercial Escrow Assistant Candidate will assume primary responsibility for assisting Closers/Tran...
Senior Paralegal- Commercial Transactions Duties: Manage QxH agreements, including, without limitat...
Legal Support Officer The candidate will involve in legal drafting, document templates, legal workf...