Investment Compliance Manager: Guideline & Systems Lead

Franklin Templeton; Baltimore (MD); Hybrid; USD 130,000 - 170,000; Full time

Benefits offered by this job

PTO

Health insurance

401(k) match

ESIP

LEAP

Job summary

Franklin Templeton in the United States is seeking a Manager – Investment Compliance to lead a team of compliance professionals across our Fixed Income and Equity groups. You will interpret guidelines, code and test rules in Bloomberg AIM and Charles River, and partner with investment, client service, operations, legal and technology teams on onboarding and ongoing governance.

This hybrid role offers work across multiple office locations including Baltimore, with a competitive salary range and

Qualifications

• 10+ years in investment or portfolio compliance.
• Knowledge of Investment Company Act of 1940 and Advisers Act.
• Demonstrated experience leading and developing teams in a people leadership role while overseeing day-to-day compliance operations.
• Experience with regulatory exams and board reporting.

Responsibilities

• Manage, mentor, and develop a team of compliance professionals, providing day-to-day guidance and performance coaching.
• Interpret investment guidelines for funds and separate accounts and manage the coding and testing of compliance rules in the compliance systems (Bloomberg AIM and Charles River).
• Help ensure ongoing adherence to client mandates, regulatory requirements, and internal policies.
• Manage breach escalation, analysis, and remediation.
• Serve as a trusted partner to investment, client service, operations, legal and technology teams throughout new account onboarding, guideline changes, and strategic initiatives.
• Work closely with the Bloomberg AIM relationship manager on issues related to the compliance monitoring system functionality and workflows.
• Support board reporting and regulatory examinations.
• Advise on new product launches and onboarding.
• Enhance compliance systems and data quality.

Skills

Investment compliance

Team leadership

Regulatory knowledge

Board reporting

Cross-functional collaboration

Bloomberg AIM

Aladdin

Charles River

Tools

Bloomberg AIM

Aladdin

Charles River

Job description

Franklin Templeton in the United States is seeking a Manager – Investment Compliance to lead a team of compliance professionals across our Fixed Income and Equity groups. You will interpret guidelines, code and test rules in Bloomberg AIM and Charles River, and partner with investment, client service, operations, legal and technology teams on onboarding and ongoing governance.

This hybrid role offers work across multiple office locations including Baltimore, with a competitive salary range and