Senior Compliance Leader – Funds & ETFs

Franklin Templeton; Baltimore (MD); Hybrid; USD 150,000 - 200,000; Full time

Benefits offered by this job

PTO 3 weeks

Health coverage

401(k) match

ESIP

LEAP Education Assistance

Education assistance

Job summary

Franklin Templeton in the United States is seeking an experienced Compliance professional to support the firm's compliance program across registered private equity funds, private debt funds, and ETFs, ensuring adherence to SEC requirements and internal policies.

You will collaborate with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate compliance risks while supporting growth of the investment platform.

Qualifications

• Bachelor's degree in Finance, Accounting, Business, Law, 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.

Responsibilities

• Support the firm's compliance program across registered private equity funds, private debt funds, and ETFs.
• Monitor compliance with SEC regulations, Investment Advisers Act requirements, fund documents, and internal policies.
• Assist in developing, maintaining, and enhancing compliance policies and procedures.
• Monitor regulatory developments and assess impact on the firm's business and products.
• Assist with board reporting and regulatory filings (e.g., Form ADV).
• Coordinate periodic compliance testing and surveillance activities.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Multitasking

Education

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

Job description

Franklin Templeton in the United States is seeking an experienced Compliance professional to support the firm's compliance program across registered private equity funds, private debt funds, and ETFs, ensuring adherence to SEC requirements and internal policies.

You will collaborate with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate compliance risks while supporting growth of the investment platform.