Portfolio Compliance Analyst — Trade & Regulatory Expert

Franklin Templeton; Philadelphia (Philadelphia County); Hybrid; USD 74,000 - 97,000; Full time

Benefits offered by this job

Discretionary bonus

401(k) matching

Health insurance

Employee stock plan

Learning assistance

Job summary

Franklin Templeton invites applications for an Investment Compliance role within the Global Compliance team. The position focuses on pre-trade alerts, post-trade exception analysis, and ensuring adherence to SEC regulations while collaborating with Traders, Portfolio Managers, and Operations teams.

The role offers a hybrid work model with three days per week in the Fort Lauderdale office and a competitive benefits package, including bonus eligibility and a 401(k) plan with matching.

Qualifications

• 2–4 years in investment compliance or restriction monitoring.
• 2+ years in alternative investment experience (private equity, hedge fund).
• CFA or FRM certification preferred.
• 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.
• Escalate potential compliance concerns appropriately.
• Prepare accurate regulatory reports and certifications.

Skills

Communication

Collaboration

Analytical thinking

Attention to detail

Time management

Independence

Education

Bachelor’s degree in Finance, Accounting, or Business

MBA preferred

Tools

Charles River

Aladdin

MS Office

Job description

Franklin Templeton invites applications for an Investment Compliance role within the Global Compliance team. The position focuses on pre-trade alerts, post-trade exception analysis, and ensuring adherence to SEC regulations while collaborating with Traders, Portfolio Managers, and Operations teams.

The role offers a hybrid work model with three days per week in the Fort Lauderdale office and a competitive benefits package, including bonus eligibility and a 401(k) plan with matching.