Pre/Post-Trade Compliance Analyst

Franklin Templeton; Boston (MA); Hybrid; USD 74,000 - 97,000; Full time

Benefits offered by this job

PTO

Health coverage

401(k) matching

Employee stock plan

LEAP education assistance

Education assistance

Job summary

Franklin Templeton is seeking aCompliance professional in the US to manage investment compliance and restriction monitoring. You will resolve alerts, analyze exceptions, and coordinate with Traders, Portfolio Managers, and global teams to ensure adherence to SEC rules and internal controls.

The role requires 2–4 years in investment compliance, experience with alternative investments, and a finance/adv degree.

Qualifications

• 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.

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.

Skills

Investment compliance experience

Alternative investment experience

Strong communication

Analytical skills

Education

Bachelor's degree in Finance/Accounting/Business

MBA preferred

Tools

Charles River or Aladdin

MS Office

Job description

Franklin Templeton is seeking aCompliance professional in the US to manage investment compliance and restriction monitoring. You will resolve alerts, analyze exceptions, and coordinate with Traders, Portfolio Managers, and global teams to ensure adherence to SEC rules and internal controls.

The role requires 2–4 years in investment compliance, experience with alternative investments, and a finance/adv degree.