Manager-Investment Compliance

Imea; New York, Boston (NY, MA); On-site; USD 134,500 - 166,000; Full time

Job summary

Franklin Templeton is seeking a Manager – Investment Compliance to lead a team responsible for pre- and post-trade portfolio compliance monitoring across diverse funds and accounts.

You will mentor and coach a team of compliance professionals, interpret investment guidelines, monitor regulatory adherence, and support board reporting. The role collaborates with Investment Management, Legal, Operations, and Technology in a hybrid setup across multiple offices.

Qualifications

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

Responsibilities

• Lead pre- and post-trade portfolio compliance monitoring.
• Mentor and develop a team of compliance professionals.
• Interpret investment guidelines for funds and separate accounts.
• Monitor portfolio adherence to mandates and regulations.
• Manage breach escalation, analysis and remediation.
• Support board reporting and regulatory examinations.
• Advise on new product launches and onboarding.
• Enhance compliance systems and data quality.

Skills

Leadership

People development

Cross-functional collaboration

Tools

Aladdin

Charles River

Job description

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. You will foster a collaborative, high-performing environment, provide coaching and mentorship, and help build team capabilities while driving consistency and accountability across compliance activities.

How You Will Add Value

Core Responsibilities

• You will lead pre- and post-trade portfolio compliance monitoring
• 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
• You will monitor portfolio adherence to mandates and regulations
• You will manage breach escalation, analysis, and remediation
• 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 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 our Boston, MA, New York or Pennsylvania office.

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 $134,500.00 – $166,000.00 depending on location and level of relevant experience, plus discretionary bonus.