Overview In this role you will help safeguard Franklin Templeton's investment platform by supporting the firm's compliance program across private funds and ETFs. You will work with investment, operations, legal, product, and distribution teams to identify and mitigate regulatory risks, ensuring adherence to SEC and internal policies. You'll help develop policies, monitor regulatory developments, and assist with board reporting and product launches. This is a chance to shape a broad, cross-functional compliance program at a global asset manager with a focus on growth and regulatory excellence.
Compensation / Benefits- PTO (3 weeks in first year)
- competitive medical/dental/vision
- 401(k) with generous match
- Employee Stock Investment Plan (ESIP)
- LEAP education assistance
- education expense reimbursement
Responsibilities- Support implementation and administration of the compliance program under Rule 38a-1 of the ICA 1940
- Monitor SEC and IA Act regulations, fund documents, and internal policies
- Develop and maintain compliance policies and procedures
- Track regulatory developments and assess impact on business and products
- Oversee compliance for registered private funds and ETFs, including new products
- Coordinate periodic testing and surveillance of private fund operations
- Assist with board reporting
- Monitor ETF product compliance and support launches
- Coordinate with PM, capital markets, operations, and service providers on compliance matters
- Assist with regulatory filings and examinations
- Support preparation of Form ADV and other filings
- Assist with SEC examinations and internal audits
- Maintain compliance records in line with regulatory requirements
- Assist with investment restrictions, conflicts of interest, valuation, and side letter obligations
- Conduct regular compliance reviews and investigations and remediation
- Maintain documentation for regulatory reviews and examinations
Key requirements- Bachelor's degree in Finance, Accounting, Business, Law, Economics, or related field
- 5-8 years of compliance experience in a financial institution (investment adviser, asset manager, private fund manager, ETF sponsor)
- Direct experience with private equity funds, private debt/private credit funds, and/or ETF products
- Strong knowledge of the Investment Advisers Act of 1940 and SEC rules
- Experience conducting compliance monitoring, testing, and regulatory reviews
- Excellent analytical, organizational, and communication skills
- Ability to juggle multiple priorities in a fast-paced environment
- analytical
- organizational
- communication skills
- experience with compliance monitoring, testing, and regulatory reviews
- knowledge of Form ADV and SEC examinations
- compliance surveillance tools
