Senior Compliance Leader - Asset Management (Hybrid)

Franklin Templeton; New York (NY); Hybrid; USD 150,000 - 200,000; Full time

Benefits offered by this job

3 weeks PTO in your first year

Health coverage

401(k) with 85% company match

Employee Stock Investment Plan (ESIP)

LEAP: Education assistance

Investment benefits

Job summary

Franklin Templeton is seeking a Regulatory Compliance professional to support our firm's compliance program across registered private equity funds, private debt funds, and ETFs. You will work with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate risks while enabling growth of our investment platform.

The ideal candidate has 5–8 years of compliance experience in asset management, strong knowledge of the Investment Advisers Act and SEC rules, and the

Qualifications

• Bachelor's degree in Finance, Accounting, Business, Economics, or related field.
• 5–8 years of compliance experience within an investment adviser, asset manager, private fund manager, ETF sponsor, or similar financial institution.
• Direct experience supporting private equity funds, private debt/private credit funds, and/or ETF products.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
• Experience conducting compliance monitoring, testing, and regulatory reviews.
• Excellent analytical, organizational, and communication skills.
• Ability to manage multiple priorities in a fast-paced environment.

Responsibilities

• Support the firm's compliance program across registered private equity/private debt funds and ETFs.
• Monitor compliance with SEC regulations, Advisers Act requirements, fund documents, and internal policies.
• Assist in developing, maintaining, and enhancing compliance policies and procedures.
• Monitor regulatory developments and assess their impact on the business and products.
• Assist with board reporting and regulatory filings.

Skills

Analytical skills

Organizational skills

Communication skills

Multitasking

Education

Bachelor's degree in Finance/Accounting/Business/Economics

Job description

Franklin Templeton is seeking a Regulatory Compliance professional to support our firm's compliance program across registered private equity funds, private debt funds, and ETFs. You will work with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate risks while enabling growth of our investment platform.

The ideal candidate has 5–8 years of compliance experience in asset management, strong knowledge of the Investment Advisers Act and SEC rules, and the