Portfolio Compliance Analyst
About the position
At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs. Come join us in delivering better outcomes for our clients around the world! About the department 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. How you will add value
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.
• You will coordinate with Operations, Fund Accounting, Technology, and other support teams.
• You will collaborate with global trading and portfolio teams, including India‑based groups.
• You will partner with New Business Services team to ensure new accounts are set up properly from a compliance perspective
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)
• 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
• CFA or FRM certification preferred
Benefits
• Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results.
• Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards.
• We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and 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) and a motivational wellbeing program.
• 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
Apply tot his job
Apply To this Job
At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs. Come join us in delivering better outcomes for our clients around the world! About the department 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. How you will add value
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.
• You will coordinate with Operations, Fund Accounting, Technology, and other support teams.
• You will collaborate with global trading and portfolio teams, including India‑based groups.
• You will partner with New Business Services team to ensure new accounts are set up properly from a compliance perspective
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)
• 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
• CFA or FRM certification preferred
Benefits
• Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results.
• Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards.
• We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and 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) and a motivational wellbeing program.
• 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
Apply tot his job
Apply To this Job