Portfolio Compliance Analyst

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 to help you reach your potential and contribute to our clients’ success.

About the role

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.

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.
• Assess 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

• Coordinate with Operations, Fund Accounting, Technology, and other support teams.
• Collaborate with global trading and portfolio teams, including India-based groups.
• Partner with the 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).
• CFA or FRM certification preferred.
• Knowledge of SEC regulations.

Skills

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.

Schedule

Hybrid work model, three days per week in the Fort Lauderdale office.

Pay

We expect the annual salary range for this position to be $71,400.00 - $84,000.00, depending on location and level of relevant experience, plus discretionary bonus.

Benefits

• Paid Time Off: Three weeks of PTO in your first year, plus holidays, sick leave, parental & caregiving leave, bereavement, volunteering, and floating holidays.
• 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 & Development: Education Assistance Program (LEAP) to support ongoing growth and career advancement, including reimbursement for certain education expenses.
• Employee Investment Benefits: Opportunity to purchase company funds with no sales charge.
• Recognition & Well-being: Annual discretionary bonus, recognition rewards, and a motivational well-being program.