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Senior Manager of Investment Compliance at Franklin Templeton in Boston leading portfolio compliance, regulatory exams, and team development.
Key responsibilities include monitoring trade compliance, managing breaches, enhancing systems, and driving process improvements for registered funds and separate accounts.
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 Department
The U.S. Investment Compliance team ensures portfolios meet investment guidelines, regulatory requirements, and internal policies across registered funds and separate accounts. The team partners closely with Investment Management, Legal, Operations, and Technology to maintain a strong control environment.
The Manager – Investment Compliance is responsible for leading and developing a team of investment compliance professionals. You will foster a collaborative, high-performing environment, provide coaching and mentorship, and help build team capabilities while driving consistency and accountability across compliance activities.
How You Will Add Value
Core Responsibilities
- You will lead pre- and post-trade portfolio compliance monitoring
- You will manage, mentor, and develop a team of compliance professionals, providing day-to-day guidance and performance coaching
- You will interpret investment guidelines for funds and separate accounts
- You will monitor portfolio adherence to mandates and regulations
- You will manage breach escalation, analysis, and remediation
- You will support board reporting and regulatory examinations
- You will advise on new product launches and onboarding
- You will enhance compliance systems and data quality
Strategic Responsibilities
- You will drive process improvements and standardization
- You will build team capabilities by identifying development opportunities and strengthening bench strength
Team & Collaboration
- You will train and advise investment teams and trading desks
- You will create a strong team culture that promotes accountability, collaboration, and continuous improvement across stakeholders
What Will Help You Be Successful in This Role
Experience, Education & Certifications
- 10+ years in investment or portfolio compliance
- Knowledge of Investment Company Act of 1940 and Advisers Act
- Demonstrated experience leading and developing teams in a people leadership role while overseeing day-to-day compliance operations
- Experience with regulatory exams and board reporting
Technical Skills
- Experience with Aladdin, Charles River or similar systems
- Knowledge of multi-asset strategies and financial instruments
Soft Skills
- Strong collaboration with cross-functional stakeholders
- Ability to develop, coach, and inspire team members
- Ability to drive process and system improvements
Work Schedule & Location
This role will work a hybrid schedule in our Boston, MA, New York or Pennsylvania office.
Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. We expect the annual salary for this position to range between $134,500.00 - $166,000.00 depending on location and level of relevant experience, plus discretionary bonus.
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Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.