Manager - Investment Compliance

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.

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 This position will lead the investment guideline management function for the Franklin Templeton Fixed Income and Franklin Equity investment teams based in Philadelphia and Columbus (legacy Brandywine), including guideline analysis, interpretation, coding, monitoring, and governance. In performing the job, the individual will drive the ongoing refinement and optimization of compliance processes, technology platforms, and operating procedures to support a robust and scalable control environment.

• 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 and manage the coding and testing of compliance rules in the compliance systems (Bloomberg AIM and Charles River)
• You will help ensure ongoing adherence to client mandates, regulatory requirements, and internal policies
• You will manage breach escalation, analysis, and remediation
• You will serve as a trusted partner to investment, client service, operations, legal and technology teams throughout new account onboarding, guideline changes, and strategic initiatives.
• You will work closely with the Bloomberg AIM relationship manager on issues related to the compliance monitoring system functionality and workflows
• 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

• You will drive process improvements and standardization
• You will build team capabilities by identifying development opportunities and strengthening bench strength

• 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

• 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

• Experience with Bloomberg AIM, Aladdin, Charles River or similar systems
• Knowledge of multi-asset strategies and financial instruments

• Strong collaboration with cross-functional stakeholders
• Ability to develop, coach, and inspire team members
• Ability to drive process and system improvements

This role will work a hybrid schedule in one of the following…