AVP - Compliance Automation & Surveillance

Welcome to Franklin Templeton Investments! We are a global investment management firm with a mission to deliver better outcomes for our clients through forward-thinking investment solutions. As our AVP of Compliance Automation & Surveillance, you will play a critical role in ensuring our firm’s compliance with regulatory requirements. We are seeking a highly experienced and innovative professional with a deep understanding of compliance automation and surveillance systems. If you are passionate about utilizing technology to enhance compliance processes and have a strong track record of success in this field, we invite you to join our team and make a meaningful impact on our firm’s compliance efforts.

1. Develop and implement comprehensive compliance automation and surveillance strategies to ensure the firm’s adherence to regulatory requirements.
2. Lead and manage a team of compliance professionals to ensure efficient and effective implementation of automation and surveillance systems.
3. Stay updated on industry trends and best practices in compliance automation and surveillance to continuously improve the firm’s processes.
4. Collaborate with cross-functional teams to identify and mitigate potential compliance risks through the use of technology.
5. Conduct regular audits and reviews of the firm’s compliance automation and surveillance systems to ensure accuracy and effectiveness.
6. Act as a subject matter expert on compliance automation and surveillance for the firm, providing guidance and support to other departments.
7. Develop and maintain relationships with external vendors and regulatory bodies to stay informed of changes and updates in compliance technology.
8. Train and educate employees on compliance automation and surveillance systems to ensure proper usage and understanding of their role in compliance efforts.
9. Continuously evaluate and update compliance policies and procedures to align with changes in technology and regulations.
10. Provide regular reports and updates to senior management on the firm’s compliance automation and surveillance efforts.

According to JobzMall, the average salary range for a AVP - Compliance Automation & Surveillance is $100,000-$150,000 per year. This may vary depending on factors such as location, industry, and years of experience.

Franklin Resources, Inc. is a holding company, which engages in the provision of financial and investment management operations. It offers fund administration, sales, distribution, marketing, shareholder servicing, trustee, custody, and fiduciary services.