Senior Portfolio Compliance Analyst

  • Competitive
  • San Mateo, CA, USA San Mateo CA US
  • Permanent, Full time
  • Franklin Templeton Investments
  • 20 Jul 18 2018-07-20

Senior Portfolio Compliance Analyst

At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners. Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries. For over 65 years, our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.

What is the Investment Compliance group responsible for?

Investment Compliance is responsible for overseeing compliance of all portfolios with the terms of their offering documents (such as Investment Management Agreement or other documentation) and applicable local and foreign regulations.

What is the Sr. Portfolio Compliance Analyst responsible for?

The Senior Compliance Analyst ("Sr. Analyst") acts as liaison for the Investment Compliance (IC) group, and serves as a point of contact with investment management personnel on pre-trade compliance related issues, ensuring all transactions are in compliance with regulatory requirements, account restrictions, and internal controls.
The Sr. Analyst also monitors compliance with investment restrictions stipulated by a variety of sources including but not limited to our own internal policies, fund documentation, client account guidelines, and regulatory requirements. The Sr. Analyst will assist in maintaining and improving systems and processes that will enable the department to safeguard the business from risk of non-compliance with the aforementioned guidelines.
This role also involves providing guidance, support, instruction, and direction to compliance analysts locally and globally for the purposes of implementing and maintaining effective controls to support the efforts of Portfolio / Trading to comply with regulatory requirements, client mandates and internal controls. The Sr. Analyst will provide quality control support to the Supervisor by reviewing the results of the testing completed by compliance analysts.
In addition, the Sr. Analyst will participate and/or take a lead role in projects and independently represent the team in efforts involving other business units within the organization. As a project lead, the Sr. Analyst will actively research and propose solutions to complex issues with a focus on leveraging technology.

What are the ongoing responsibilities of a Sr. Portfolio Compliance Analyst?

• Perform pre/post-trade compliance review of respective funds:

  • Pre-trade reviews: review relevant restrictions and pre-clear alerts when generated by the compliance system as well as pre-clearing accounts eligible for IPO participation, inter-account transactions, and other pre-clearance requests.
  • Post-trade reviews: research compliance alerts, warnings, data exceptions. Escalate the appropriate notification protocol to IC management and investment management personnel of any potential violations.
• Provide guidance, instruction, and direction to compliance analysts locally and globally for the purpose of implementing and maintaining effective and efficient controls to support the efforts of Portfolio / Trading to comply with regulatory requirements, client mandates and internal controls.
• Perform detailed compliance analysis of all rules in internal compliance system, Charles River. Review prospectuses and other investment management agreements and validate the restrictions are updated in the Charles River System. Perform manual calculations required to ensure compliance. Assist with the set-up of new accounts.
• Special projects as assigned by supervisor(s), including the coordination/facilitation of audit request, data management, training, and system applications and processes for IC locations. Collaborate with IC to establish sound preventive, detective and corrective measurements.
• Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity.

What ideal qualifications, skills & experience would help someone to be successful?
  • Undergraduate degree in Finance; MBA or CFA candidate preferred
  • At least 5 years prior experience within investment management industry, at least 3+ years within Investment Compliance
  • Charles River experience preferred, experience with Bloomberg/Bloomberg API
  • Able to discuss local securities legislation, complex investment vehicles, derivatives & investment strategies intelligently
  • Experience building relationships with Portfolio Management/Trading
  • Proven track record leading projects
  • Genuine interest in investment compliance
What makes Franklin Templeton Investments unique?

In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards -the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.

Highlights of our benefits include:
  • Three weeks paid time off the first year
  • Medical, dental and vision insurance
  • 401(k) Retirement Plan with 75% company match, 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*
  • *Only applicable at certain locations

  • We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities . An emphasis on corporate citizenship is embedded in our culture and values , and is an important element of how we achieve success.

    We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people , and see what it means to say, "I AM Franklin Templeton".

    Franklin Templeton Investments is an Equal Opportunity Employer. We are committed to equal employment opportunity for all applicants and existing 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. We invite you to visit us at to learn more about our company and our career opportunities.