Franklin Templeton · 5 hours ago
Portfolio Compliance Analyst
New York, NY
Full-time
Hybrid
Entry, Mid Level
$82K/yr - $98K/yr
2+ years expFranklin Templeton is a dynamic firm advancing the industry through innovative investment solutions. The Portfolio Compliance Analyst will ensure investments align with regulatory requirements and internal policies, collaborating with various teams to maintain compliance and support trading activities.
Financial ServicesHedge FundsProfessional ServicesWealth Management
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
Access and improve controls and processes
Onboard new accounts and set up appropriate compliance rules
Support projects as necessary and complete ad‑hoc requests
Coordinate with Operations, Fund Accounting, Technology, and other support teams
Collaborate with global trading and portfolio teams, including India‑based groups
Partner with New Business Services team to ensure new accounts are set up properly from a compliance perspective
Qualification
Required
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
Knowledge of SEC regulations
Experience with compliance tools such as Charles River or Aladdin
Proficiency with MS Office
Strong communication and collaboration skills
Analytical and problem‑solving abilities
Ability to manage tight deadlines
High attention to detail
Ability to work independently
Preferred
MBA preferred
CFA or FRM certification preferred
Benefits
Three weeks paid time off the first year
Medical, dental and vision insurance
401(k) Retirement Plan with 85% company match on your pre-tax and/or Roth contributions, up to the IRS limits
Employee Stock Investment Program
Tuition Assistance Program
Purchase of company funds with no sales charge
Onsite fitness center and recreation center
Onsite cafeteria
Company
Franklin Templeton
Franklin Templeton is a investment firm that offers mutual funds for individuals and institutions.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Jenny Johnson
President and CEO
Jennifer Johnston
Senior Vice President and Director of Municipal Bond Research
Recent News
2026-02-04
2026-01-22
2026-01-16
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