Portfolio Compliance Analyst — Pre-Trade Integrity & Risk

Franklin Templeton; Fort Lauderdale (FL); Hybrid; USD 74,000 - 97,000; Full time

Benefits offered by this job

PTO

Health insurance

401(k) match

ESIP

LEAP

Employee stock plan

Job summary

Franklin Templeton is seeking an Investment Compliance professional to safeguard portfolios by ensuring regulatory alignment and client guidelines. The role collaborates with Portfolio Management, Trading, Risk, and Operations to maintain data integrity and support compliant trading activity in a global context.

The candidate should have 2–4 years in investment compliance, experience with hedge funds or private equity, and a finance-related degree.

Qualifications

• 2–4 years in investment compliance or restriction monitoring.
• 2+ years in alternative investments (private equity, hedge funds).
• Bachelor’s degree in Finance, Accounting, or Business; MBA preferred.
• CFA or FRM certification preferred; SEC regulations knowledge.

Responsibilities

• Resolve pre-trade compliance alerts with Traders and PMs.
• Use compliance tools to identify issues before trade execution.
• Analyze post-trade exceptions and support issue resolution.
• Prepare regulatory reports and certifications.
• Onboard new accounts and set up compliance rules.

Skills

Investment compliance

Alternative investments

Strong communication

SEC regulations

Education

Bachelor’s degree in Finance/Accounting/Business

Tools

Charles River

Aladdin

MS Office

Job description

Franklin Templeton is seeking an Investment Compliance professional to safeguard portfolios by ensuring regulatory alignment and client guidelines. The role collaborates with Portfolio Management, Trading, Risk, and Operations to maintain data integrity and support compliant trading activity in a global context.

The candidate should have 2–4 years in investment compliance, experience with hedge funds or private equity, and a finance-related degree.