Senior Compliance Officer

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.

How You Will Add Value

• Regulatory Compliance Support:
  • 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.
  • Aid 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.
  • Maintain 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.
  • Aid in 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.
  • Aid in 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.

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: Boston, New York, Philadelphia, Baltimore, St. Petersburg.

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.

Pay

The annual salary for this position to range between $150,000 – $200,000, depending on location and level of relevant experience, plus discretionary bonus.