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About the Role

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.

Responsibilities

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 for private funds.
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.
Assist with board reporting for ETFs.
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.

Requirements

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.

Skills

Digital asset ETFs
Crypto
Tokenized funds
Stablecoins

Location

Boston
New York
Philadelphia
Baltimore
St. Petersburg

Work Type

Hybrid

Experience Level

MID_SENIOR_LEVEL

Education Level

Bachelor's degree

Salary/Compensations

$150,000 – $200,000

Benefits

Annual discretionary bonus
401(k) plan with a generous match
Recognition rewards
Comprehensive benefits package
Competitive healthcare options
Insurance
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)
Motivational wellbeing program
Three weeks of PTO in your first year
Competitive medical, dental, and vision insurance
401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
Learning Education Assistance Program (LEAP)
Opportunity to purchase company funds with no sales charge

About the Company

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.
When you become part of Franklin Templeton, you’ll join a company dedicated to progress.
A company that doesn’t settle.
One where we pursue our ambitions with energy and persistence.
That’s why it’s so important that we empower and encourage the progress of our employees.
From our welcoming, inclusive, and flexible culture – to our global and diverse business, we provide opportunities to help you reach your potential while contributing to ours.
At Franklin Templeton, we embrace individual differences and value experience and perspectives brought by talent from around the world.
And, although we are all different, we all have one thing in common – we are dedicated to what we do.
So whether you’re just starting your career journey, are well on your way, or are seeking a new direction, you'll find the support you need to grow your career with us.
Come, join us, and help us shape the future of the global asset management industry!

Equal Opportunity

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.