Portfolio Compliance Analyst

Franklin Templeton Investments; Town of Florida (NY); Hybrid; USD 71,400 - 84,000; Full time

Benefits offered by this job

Paid Time Off: Three weeks in the first year

Competitive medical, dental, and vision insurance

401(k) plan with 85% company match

Employee Stock Investment Plan

Learning Education Assistance Program

Job summary

Franklin Templeton Investments is seeking a Portfolio Compliance Analyst to join their team in Ft. Lauderdale, Florida. This role entails resolving compliance alerts, monitoring accounts, and preparing regulatory reports.

The ideal candidate will have a Bachelor's degree in Finance or related fields and 2-4 years of experience in investment compliance, along with strong analytical and communication skills.

This position offers a hybrid model, combining in-office work and remote flexibility.

Qualifications

• 2-4 years in investment compliance or restriction monitoring.
• 2+ years in alternative investment experience (private equity, hedge fund).
• Knowledge of SEC regulations.

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.
• Prepare accurate regulatory reports and certifications.

Skills

Investment compliance

Analytical skills

Communication skills

Problem solving

Attention to detail

Education

Bachelor's degree in Finance, Accounting, or Business

CFA or FRM certification

Tools

Charles River

Aladdin

MS Office

Job description

## Portfolio Compliance AnalystApplylocations: Ft. Lauderdale, Florida, United States of Americatime type: Full timeposted on: Posted Yesterdayjob requisition id: 868035At 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. The Investment Compliance team safeguards Franklin Templeton’s portfolios by ensuring investments align with regulatory requirements, client guidelines, and internal policies. The team partners with Portfolio Management, Trading, Investment Risk, and Operations to maintain accurate data, resolve issues, and support compliant trading activity. Team members work collaboratively across global offices and gain exposure to complex investment products, regulatory frameworks, and advanced compliance systems.# **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.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 range for this position to be $71,400.00 - $84,000.00, depending on location and level of relevant experience, plus discretionary bonus.#MID\_SENIOR\_LEVEL#LI-Hybrid 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.### About UsWhen you become part of Franklin Templeton, you’ll join a company dedicated to progress. A company that doesn’t settle. One where we pursue our ambitions with energy and persistence. That’s why it’s so important that we empower and encourage the progress of our employees. From our welcoming, inclusive, and flexible culture – to our global and diverse business, we provide opportunities to help you reach your potential while contributing to ours.At Franklin Templeton, we embrace individual differences and value experience and perspectives brought by talent from around the world. And, although we are all different, we all have one thing in common – we are dedicated to what we do.So whether you’re just starting your career journey, are well on your way, or are seeking a new direction, you’'ll find the support you need to grow your career with us.**Come, join us, and help us shape the future of the global asset management industry!**