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.

The successful candidate will support the firms 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 firms investment platform.

• Support the implementation and ongoing administration of the firms 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 firms business and products.

• 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

• 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.

• 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.

• Assist with preparation and review of regulatory filings including Form ADV and other applicable filings.

• Support SEC examinations regulatory inquiries and internal audits.

Required

• Bachelors degree in Finance Accounting Business Law Economics or related field.

• 58 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.

• 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 $150000 $200000 depending on location and level of relevant experience plus discretionary bonus.

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At Franklin Templeton we believe your benefits should support your life your goals and your future. Thats why we offer a comprehensive Total Rewards package designed to help you thrive both personally and professionally.

- 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.