Investment Compliance Analyst

Franklin Templeton; Pasadena (CA); On-site; USD 78,800 - 92,600; Full time

Benefits offered by this job

Three weeks paid time off

Medical, dental and vision insurance

401(k) Retirement Plan with 85% match

Employee Stock Investment Program

Tuition Assistance Program

Purchase of company funds with no sale

Onsite fitness center

Onsite cafeteria

Location-specific perks

Job summary

Franklin Templeton is seeking a Portfolio Compliance Analyst to monitor portfolios for rule adherence and regulatory alignment. You will review trading activity and work with portfolio managers to simulate strategy impacts.

The role supports cross‑team collaboration to resolve issues and ensure client guidelines are met. Responsibilities include monthly/quarterly reviews, system transitions to Aladdin, and maintaining rigorous documentation.

Qualifications

• Experience working with fixed income securities and market guidelines.
• Proven ability to review and interpret legal documents and policies.
• Strong written and verbal communication with attention to detail.

Responsibilities

• Oversee portfolios daily for compliance with guidelines and regulations.
• Review trading activity to identify compliance issues.
• Partner with portfolio management for pre-trade analysis and scenario testing.
• Perform monthly and quarterly compliance reviews across portfolios.
• Collaborate with portfolio managers and client service teams to resolve issues.
• Assist with transitioning to the Aladdin system from the current platform.

Skills

Fixed income knowledge

Securities industry experience

Attention to detail

Interpretation of guidelines

Research capabilities

Computer systems proficiency

Adaptability to new software

Education

Undergraduate degree

Tools

Aladdin

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.

We’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs.

Coming join us in delivering better outcomes for our clients around the world! Our success depends on an entrepreneurial mindset, along with an awareness of the demands of a highly regulated business. We rely on building strong relationships with other teams and value a diplomatic approach to addressing legal issues and compliance. Each day is an opportunity to drive results and shape our future. We touch every aspect of fixed‑income investment management from trading and settlement systems to client service and risk management. You will ensure client portfolios are invested in accordance with client guidelines, internal policies and procedures and regulatory law.

What is the Portfolio Compliance Analyst responsible for?

• Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues
• Review of trading activity for compliance issues
• Partner with portfolio management group to conduct pre‑trade analysis and what‑if scenarios on proposed strategies
• Review all portfolios on a monthly and quarterly basis to ensure compliance
• Collaborate with portfolio managers, client service executives and associates to resolve compliance issues
• Assist with the transition from Western’s current compliance system to Aladdin

What are the key responsibilities of a Portfolio Compliance Analyst?

• Demonstrate strong organizational skills and effectively manage multiple tasks.
• Maintain a high level of attention to detail in all work.
• Contribute as an active member of the broader legal function.
• Collaborate effectively with team members and support shared goals.
• Show a willingness to learn from others and continuously develop professionally.
• Take initiative in driving personal growth and skill development.
• Share knowledge and experience with colleagues to support team success.
• Build and expand business and technical expertise.
• Develop strong communication and interpersonal skills.
• Make meaningful contributions with the support, guidance, and training provided.

What You Will Bring

• In depth knowledge of fixed income securities
• Previous experience in the securities industry
• Extreme attention to detail and written documentation
• Ability to interpret written guidelines and legal documents
• Strong research capabilities
• Proficiency in various computer systems and software applications
• Ability to learn new technological systems and software programs
• Undergraduate degree in related field or equivalent work experience

Compensation

Expected base salary for the role will generally be between $78,800 and $92,600 per year at the commencement of employment. Base salary if hired will be determined on an individualized basis and is only part of the total compensation package, which may also include discretionary bonuses, short‑term and long‑term incentive packages, and company‑sponsored benefit programs.

Benefits

• Three weeks paid time off in the first year
• Medical, dental and vision insurance
• 401(k) Retirement Plan with 85% company match on pre‑tax and/or Roth contributions, up to IRS limits
• Employee Stock Investment Program
• Tuition Assistance Program
• Purchase of company funds with no sales charge
• Onsite fitness center and recreation center*
• Onsite cafeteria*
• Only applicable at certain locations

Equal Opportunity Employer

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, 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.

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