Senior Compliance Officer

Franklin Templeton • Boston, MA

5d • $150,000 - $200,000 • Hybrid

About The Position

The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies. This role will work closely with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate compliance risks while supporting the continued growth of the firm's investment platform.

Requirements

• Bachelor's degree in Finance, Accounting, Business, Law, Economics, or related field.
• 5–8 years of compliance experience within an investment adviser, asset manager, private fund manager, ETF sponsor, or similar financial institution.
• Direct experience supporting private equity funds, private debt/private credit funds, and/or ETF products.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
• Experience conducting compliance monitoring, testing, and regulatory reviews.
• Excellent analytical, organizational, and communication skills.
• Ability to manage multiple priorities in a fast-paced environment.

Nice To Haves

• Experience supporting registered investment products, both traditional and semi-liquid.
• Familiarity with Form ADV, SEC examinations, and compliance surveillance tools.
• Knowledge of marketing rule requirements and private fund regulations.
• Professional certifications such as CFA, CPA, JD, IACCP, or equivalent.
• Experience working with institutional investors, fund distribution, and capital raising activities.

Responsibilities

• Support the implementation and ongoing administration of the firm's compliance program under Rule 38a-1 of the Investment Company Act of 1940.
• Monitor compliance with applicable SEC regulations, Investment Advisers Act requirements, fund governing documents, and internal policies.
• Assist in the development, maintenance, and enhancement of compliance policies and procedures.
• Monitor regulatory developments and assess their impact on the firm's business and products.
• Support compliance oversight for existing registered closed-end private equity and private credit/debt funds as well as new products.
• Monitor compliance with fund investment restrictions, conflicts of interest policies, valuation procedures, and side letter obligations.
• Coordinate periodic compliance testing and surveillance activities related to private fund operations.
• Assist with board reporting for private funds.
• Support compliance oversight of ETF products, monitoring adherence to regulatory requirements and support in the launch of new products.
• Coordinate with portfolio management, capital markets, operations, and service providers regarding compliance matters affecting ETF operations.
• Experience with digital asset ETFs, crypto and tokenized funds, and stablecoins.
• Assist with board reporting for ETFs.
• Conduct periodic compliance reviews and testing of key controls.
• Investigate potential compliance issues and assist in remediation efforts.
• Maintain compliance records and documentation in accordance with regulatory requirements.
• Assist with preparation and review of regulatory filings, including Form ADV and other applicable filings.
• Support SEC examinations, regulatory inquiries, and internal audits.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior