At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique.
From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success.
About the Position
The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies. This role will work closely with investment, operations, legal, product, and distribution teams to identify, assess, and mitigate compliance risks while supporting the continued growth of the firm's investment platform.
How you will add value
Support the implementation and ongoing administration of the firm's compliance program under Rule 38a-1 of the Investment Company Act of 1940.
Monitor compliance with applicable SEC regulations, Investment Advisers Act requirements, fund governing documents, and internal policies.
Assist in the development, maintenance, and enhancement of compliance policies and procedures.
Monitor regulatory developments and assess their impact on the firm's business and products.
Support compliance oversight for existing registered closed-end private equity and private credit/debt funds as well as new products.
Monitor compliance with fund investment restrictions, conflicts of interest policies, valuation procedures, and side letter obligations.
Coordinate periodic compliance testing and surveillance activities related to private fund operations.
Assist with board reporting
Support compliance oversight of ETF products, monitoring adherence to regulatory requirements and support in the launch of new products.
Coordinate with portfolio management, capital markets, operations, and service providers regarding compliance matters affecting ETF operations.
Experience with digital asset ETFs, crypto and tokenized funds, and stablecoins.
Assist with board reporting.
Conduct periodic compliance reviews and testing of key controls.
Investigate potential compliance issues and assist in remediation efforts.
Maintain compliance records and documentation in accordance with regulatory requirements.
Assist with preparation and review of regulatory filings, including Form ADV and other applicable filings.
Support SEC examinations, regulatory inquiries, and internal audits.
What will help you be successful in this role
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.
Ability to manage multiple priorities in a fast-paced environment.
Experience supporting registered investment products, both traditional and semi-liquid.
Familiarity with Form ADV, SEC examinations, and compliance surveillance tools.
Knowledge of marketing rule requirements and private fund regulations.
Professional certifications such as CFA, CPA, JD, IACCP, or equivalent.
Experience working with institutional investors, fund distribution, and capital raising activities.
Work Schedule & Location
The position will work a hybrid schedule in one of our following offices 3 days/week.
Boston, New York, Philadelphia, Baltimore, St. Petersburg
Senior Compliance Officer • St. Petersburg,SP/,USA
Senior Loss Control Consultant.Job Category: Client Services Requisition Number: SENIO005598.Saint Petersburg, FL 33716, USA.Position Summary: The Senior Loss Control Consultant provides technicall... Show more
Senior Advisor Consultant, Edward Jones.At Franklin Templeton, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals.Our dynami... Show more
Republic Bank believes in the development and advancement of our associates.We offer the opportunity to learn all aspects of the company to prepare for future advancement.Come join our team for a c... Show more
Essential Functions and Primary Duties.Complete all aspects of accounting, tax and audit engagements for clients including status updates to engagement managers and adhere to all quality control st... Show more
Our technology powers the world's economy and our teams bring innovation to life.We champion diversity to deliver the best products and solutions for our colleagues, clients, and communities.If you... Show more
Webull Advisors is an SEC registered Investment Adviser focused on robo-advisory services.We are looking for a talented compliance professional in St.Petersburg, Florida to join our compliance depa... Show more
Under administrative direction uses specialized knowledge and skills obtained through experience, specialized training or certification to administer personal trust accounts of varying complexity f... Show more
The Director of Compliance is responsible for assisting the Chief Compliance Officer/Deputy Chief Compliance Officer is an individual who has a thorough understanding of products and services provi... Show more
Franklin Templeton Compliance Role.At Franklin Templeton, we believe success is built through powerful partnerships.As a forward thinking asset manager, we build dynamic relationships with clients,... Show more
Technology and Business consulting services.We are in search of a highly motivated candidate to join our talented team.Tracks, reviews and communications pending and passed US federal regulations, ... Show more
Family-owned, vertically integrated furniture manufacturer and ecommerce retailer of solid-wood home furnishings.The Company is seeking a Chief Digital Officer to lead its direct-to-consumer busine... Show more
Strategic Partnership Senior Associate.Webull is a leading digital brokerage platform built on next generation global infrastructure.At Webull, we believe that everyone should have an equal opportu... Show more
Fraud Operations Specialist (On-Site).Duration: 3-6 Months (Contract).We are looking for two strategic and hands-on Fraud Operations Specialists to work on-site at our St.The resource will be respo... Show more
Every day, our teams innovate across the world of finance.We collaborate to work smarter, while making a difference.We believe in diversity and inclusivity, giving a voice to everyone on the team.A... Show more
Essential Functions and Primary Duties.Complete all aspects of accounting, tax and audit engagements for clients including status updates to engagement managers and adhere to all quality control st... Show more
At GAF, we cover more than buildings.No matter what role, tenure, or track, under this roof you are empowered to be there for your teammates, your customers, and especially your community.Under thi... Show more
The Senior Solution Advisor will serve as a focused sales engineer within the Price Optimization business unit.In this role, the Senior Solution Advisor will support the Sales and Client Management... Show more
Can be remote, but in office is preferred.Backfill for Compliance Analyst Sr.CTH role most interested in candidates with experience in payments association and card network compliance (Visa, Master... Show more
Global Operations Risk And Controls Consultant.At Franklin Templeton, we believe success is built through powerful partnerships.As a forward thinking asset manager, we build dynamic relationships w... Show more
Enhanced Due Diligence Team Position.This position is for the Enhanced Due Diligence Team with a primary focus on conducting in-depth reviews of higher-risk customers to identify potential money la... Show more
