Investment Compliance Manager — Lead Guidelines & Team

Franklin Templeton; Fort Lauderdale (FL); Hybrid; USD 130,000 - 170,000; Full time

Benefits offered by this job

PTO

Health coverage

401(k) match

Employee stock plan

LEAP education assistance

Career development

Job summary

Franklin Templeton seeks a Manager – Investment Compliance to lead a team of professionals across U.S. markets, ensuring adherence to investment guidelines and regulatory requirements.

You will drive process improvements, coordinate with investment, operations, and legal teams, and manage governance for a scalable control environment. The role requires a track record in compliance leadership, plus experience with exams, board reporting, and complex product onboarding.

Qualifications

• 10+ years in investment or portfolio compliance.
• Knowledge of Investment Company Act of 1940 and Advisers Act.
• Proven experience leading and developing teams while overseeing daily compliance operations.
• Experience with regulatory exams and board reporting.

Responsibilities

• Manage, mentor, and develop a team of compliance professionals.
• Interpret investment guidelines for funds and accounts and code/test rules in systems (Bloomberg AIM, Charles River).
• Ensure ongoing adherence to client mandates, regulatory requirements, and internal policies.
• Manage breach escalation, analysis, and remediation.
• Partner with investment, client service, operations, legal and technology teams during onboarding and guideline changes.
• Support board reporting and regulatory examinations; advise on new product launches and onboarding.

Skills

Team leadership

Regulatory knowledge

Cross-functional collaboration

Process improvement

Tools

Bloomberg AIM

Aladdin

Charles River

Job description

Franklin Templeton seeks a Manager – Investment Compliance to lead a team of professionals across U.S. markets, ensuring adherence to investment guidelines and regulatory requirements.

You will drive process improvements, coordinate with investment, operations, and legal teams, and manage governance for a scalable control environment. The role requires a track record in compliance leadership, plus experience with exams, board reporting, and complex product onboarding.