Portfolio Compliance Analyst
About The Position
At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique. From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success. The Investment Compliance team safeguards Franklin Templeton’s portfolios by ensuring investments align with regulatory requirements, client guidelines, and internal policies. The team partners with Portfolio Management, Trading, Investment Risk, and Operations to maintain accurate data, resolve issues, and support compliant trading activity. Team members work collaboratively across global offices and gain exposure to complex investment products, regulatory frameworks, and advanced compliance systems.
Requirements
- 2-4 years in investment compliance or restriction monitoring.
- 2+ years in alternative investment experience (private equity, hedge fund).
- Bachelor’s degree in Finance, Accounting, or Business (MBA preferred).
- CFA or FRM certification preferred.
- Knowledge of SEC regulations.
- Experience with compliance tools such as Charles River or Aladdin.
- Proficiency with MS Office.
- Strong communication and collaboration skills.
- Analytical and problem solving abilities.
- Ability to manage tight deadlines.
- High attention to detail.
- Ability to work independently.
Nice To Haves
- MBA preferred
- CFA or FRM certification preferred
Responsibilities
- Resolve pre trade compliance alerts with Traders and Portfolio Managers.
- Use compliance tools to identify issues before trade execution.
- Analyze post trade exceptions and support issue resolution.
- Monitor accounts, track violations, and apply SEC requirements.
- Escalate potential compliance concerns appropriately.
- Respond to internal and external information requests.
- Prepare accurate regulatory reports and certifications.
- Access and improve controls and processes.
- Onboard new accounts and set up appropriate compliance rules.
- Support projects as necessary and complete ad hoc requests.
Benefits
- Annual discretionary bonus
- 401(k) plan with a generous match
- Recognition rewards
- Competitive healthcare options
- Insurance
- Disability benefits
- Employee stock investment program
- Learning resources
- Career development programs
- Reimbursement for certain education expenses
- Paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays)
- Motivational wellbeing program
- Three weeks of PTO in your first year
- Competitive medical, dental, and vision insurance
- 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
- Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
- Learning Education Assistance Program (LEAP)
- Opportunity to purchase company funds with no sales charge
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
