Posted 12 hours ago
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Responsible for safeguarding portfolios by ensuring investments comply with regulatory requirements, client guidelines, and internal policies. Resolve pre-trade compliance alerts, analyze post-trade exceptions, monitor accounts and prepare regulatory reports while partnering with trading, portfolio management, operations, and global teams. Support onboarding of new accounts, improve controls and processes, and participate in projects and ad-hoc requests. Hybrid role based in New York City with an anticipated salary range of $82,500–$97,500 plus discretionary bonus.
- Compensation
- $82,500 – $97,500 USD
- City
- New York City
- Country
- United States
Currency: $ (USD)
Full Job Description
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
Core 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.
Strategic Responsibilities
Access and improve controls and processes.
Onboard new accounts and set up appropriate compliance rules.
Support projects as necessary and complete ad‑hoc requests.
Team & Collaboration
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
What will help you be successful in this role
Experience, Education & Certifications
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
Technical Skills
Experience with compliance tools such as Charles River or Aladdin
Proficiency with MS Office
Soft Skills
Strong communication and collaboration skills
Analytical and problem‑solving abilities
Ability to manage tight deadlines
High attention to detail
Ability to work independently
Work Schedule & Location
Hybrid work model, three days per week in the New York City office.
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. We expect the annual salary range for this position to be $82,500-$97,500 depending on location and level of relevant experience, plus discretionary bonus.
#ASSOCIATE
#LI-Hybrid
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton.
Highlights of our benefits include:
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*
*Only applicable at certain locations
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.
