Manager - Investment Compliance

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

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.

About The Department

The U.S. Investment Compliance team ensures portfolios meet investment guidelines, regulatory requirements, and internal policies across registered funds and separate accounts. The team partners closely with Investment Management, Legal, Operations, and Technology to maintain a strong control environment.

The Manager – Investment Compliance is responsible for leading and developing a team of investment compliance professionals This position will lead the investment guideline management function for the Franklin Templeton Fixed Income and Franklin Equity investment teams based in Philadelphia and Columbus (legacy Brandywine), including guideline analysis, interpretation, coding, monitoring, and governance. In performing the job, the individual will drive the ongoing refinement and optimization of compliance processes, technology platforms, and operating procedures to support a robust and scalable control environment.

How You Will Add Value

Core Responsibilities

• You will manage, mentor, and develop a team of compliance professionals, providing day-to-day guidance and performance coaching
• You will 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)
• You will help ensure ongoing adherence to client mandates, regulatory requirements, and internal policies
• You will manage breach escalation, analysis, and remediation
• You will serve as a trusted partner to investment, client service, operations, legal and technology teams throughout new account onboarding, guideline changes, and strategic initiatives.
• You will work closely with the Bloomberg AIM relationship manager on issues related to the compliance monitoring system functionality and workflows
• You will support board reporting and regulatory examinations
• You will advise on new product launches and onboarding
• You will enhance compliance systems and data quality

Strategic Responsibilities

• You will drive process improvements and standardization
• You will build team capabilities by identifying development opportunities and strengthening bench strength

Team & Collaboration

• You will train and advise investment teams and trading desks
• You will create a strong team culture that promotes accountability, collaboration, and continuous improvement across stakeholders

What Will Help You Be Successful In This Role

Experience, Education & Certifications

• 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

Technical Skills

• Experience with Bloomberg AIM, Aladdin, Charles River or similar systems
• Knowledge of multi-asset strategies and financial instruments

Soft Skills

• Strong collaboration with cross-functional stakeholders
• Ability to develop, coach, and inspire team members
• Ability to drive process and system improvements

Work Schedule & Location

This role will work a hybrid schedule in one of the following office locations; Philadelphia, PA, Boston, MA, St. Petersburg, FL, Ft. Lauderdale, FL or Baltimore, MD.

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 $130,000.00 - $170,000.00, depending on location and level of relevant experience, plus discretionary bonus.

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

Highlights Of Our Benefits Include

• 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.

Artificial intelligence or automated tools may be used to assist in the screening, assessment, or selection of applicants for this position.