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Senior Compliance Officer
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.
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.
How you will add value
Regulatory Compliance
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.
Registered Private Funds Compliance (Equity, Debt, Venture Capital and Infrastructure)
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
ETF Compliance
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.
Compliance Monitoring & Testing
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.
Regulatory Filings & Examinations
Assist with preparation and review of regulatory filings, including Form ADV and other applicable filings.
Support SEC examinations, regulatory inquiries, and internal audits.
What will help you be successful in this role
Required
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.
Preferred
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.
Work Schedule & Location
- The position will work a hybrid schedule in one of our following offices 3 days/week.
- Boston, New York, Philadelphia, Baltimore, St. Petersburg
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 for this position to range between $150,000 - $200,000, depending on location and level of relevant experience, plus discretionary bonus.
#MID_SENIOR_LEVEL
At Franklin Templeton, we believe your benefits should support your life, your goals, and your future. That's why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.
Highlights of our benefits include:
- Paid Time Off: Three weeks of PTO in your first year
- Health Coverage: Competitive medical, dental, and vision insurance to support your well-being
- Retirement Savings: 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
- Equity & Investing: Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
- Learning Education Assistance Program (LEAP): To support your ongoing growth and career advancement
- Employee Investment Benefits: Opportunity to purchase company funds with no sales charge
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.
Skills:
Accounting, Analysis Skills, Asset Management, Business Law, Capital Markets, Communication Skills, Customer Relations, Economics, Employee Benefits, Equal Employment Opportunity (EEO), Equity Securities, Finance, Fund Management, Genetics, Internal Audit, Investment Management, Investment Services, Legal, Maintain Compliance, Medical Conditions, Monitor Regulations, Multitasking, Organizational Skills, Private Funding, Product Support, Product/Service Launch, Regulations, Regulatory Compliance, Regulatory Requirements, Regulatory Submissions, Risk Management, Securities and Exchange Commission (SEC), Surveillance, Testing, Venture Capital
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