Portfolio Compliance Analyst

CFA Institute; Fort Lauderdale (FL); Hybrid; USD 71,400 - 84,000; Full time

Benefits offered by this job

401(k) plan with company match

Paid time off: Three weeks in first year

Health coverage: Medical, dental, vision insurance

Employee Stock Investment Plan

Job summary

CFA Institute is seeking an investment compliance professional to manage compliance alerts and regulatory reporting. This role requires collaboration with traders and emphasis on detail.

The position offers a hybrid work model with three days per week in the Fort Lauderdale office, as well as a competitive salary range of $71,400 to $84,000, plus benefits such as 401(k) matching and comprehensive health coverage.

Qualifications

• 2-4 years of experience in investment compliance or restriction monitoring.
• 2+ years of alternative investment experience (private equity, hedge funds).
• High attention to detail and ability to work independently.

Responsibilities

• Resolve pre-trade compliance alerts with traders and portfolio managers.
• Prepare accurate regulatory reports and certifications.
• Monitor accounts and track violations.

Skills

Investment compliance

Restriction monitoring

SEC regulations knowledge

Analytical skills

Communication skills

Collaboration skills

Education

Bachelor's degree in Finance, Accounting, or Business

CFA or FRM certification

Tools

Charles River

Aladdin

MS Office

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.

How you will add value

Core Responsibilities

• Resolve pre trade compliance alerts with Traders and Portfolio Managers.
• Use compliance tools to identify issues before trade execution.
• Analyze post trade exceptions and support issue resolution.
• Monitor accounts, track violations, and apply SEC requirements.
• Escalate potential compliance concerns appropriately.
• Respond to internal and external information requests.
• Prepare accurate regulatory reports and certifications.

Strategic Responsibilities

• Access and improve controls and processes.
• Onboard new accounts and set up appropriate compliance rules.
• Support projects as necessary and complete ad hoc requests.

Team & Collaboration

• You will coordinate with Operations, Fund Accounting, Technology, and other support teams.
• You will collaborate with global trading and portfolio teams, including India based groups.
• You will partner with New Business Services team to ensure new accounts are set up properly from a compliance perspective.

What will help you be successful in this role

Experience, Education & Certifications

• 2-4 years in investment compliance or restriction monitoring.
• 2+ years in alternative investment experience (private equity, hedge fund).
• Bachelor's degree in Finance, Accounting, or Business (MBA preferred).
• CFA or FRM certification preferred.
• Knowledge of SEC regulations.

Technical Skills

• Experience with compliance tools such as Charles River or Aladdin.
• Proficiency with MS Office.

Soft Skills

• Strong communication and collaboration skills.
• Analytical and problem solving abilities.
• Ability to manage tight deadlines.
• High attention to detail.
• Ability to work independently.

Work Schedule & Location

Hybrid work model, three days per week in the Fort Lauderdale office.

Salary Range

We expect the annual salary range for this position to be $71,400.00 - $84,000.00, depending on location and level of relevant experience, plus discretionary bonus.

Benefits

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.

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.