Sr. Compliance Analyst, Portfolio
Franklin Templeton Investments 179 reviews - San Mateo, CA

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Franklin Templeton Investments remains a leading global investment management organization for over 60 years thanks to our greatest assets - our employees. With over 8,000 employees working in 30 countries around the world to service over 240 financial products, we offer an exceptional range of diverse career options. Our corporate values reflect the best of our employees. We believe in putting clients first, building relationships, achieving quality results, and working with integrity. We strive to bring a balance of work and life to our employees.

We are currently looking for a

Sr. Compliance Analyst

to join our team in the San Mateo, California office.

The Sr. Compliance Analyst 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 outlined investment guidelines.

This role also involves providing guidance, support, instruction, and direction to Compliance Analysts locally and globally for the purpose of implementing and maintaining effective controls to support the efforts of Portfolio and Trading to comply with regulatory requirements, client mandates and internal controls. The Sr. Analyst will also provide quality control support to the Supervisor by reviewing results of the testing completed by Compliance Analysts.

The Sr. Analyst will also 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.

Additional responsibilities include:
Perform post-trade compliance review of respective funds. Escalate the appropriate notification protocol to Global Investment Adviser Compliance (GIAC) management and investment management personnel of any potential violations.

Perform detailed compliance analysis of all rules in internal compliance system, Charles River. Review prospectuses and other investment management agreements and validate the revised 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 GIAC locations. Collaborate with GIAC team 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.


Ideal candidates will have:
Bachelor's degree preferably in Finance, Economics or Business Administration.

At least 4-7 years of related experience in the financial services industry, previous portfolio compliance experience desirable.

Fundamental knowledge of the mutual fund industry, investment products and concepts.

CFA candidate preferred.

Experience with derivatives and complex securities preferred.

Charles River experience preferred, but not required.

Experience with Bloomberg/Bloomberg API preferred.

Familiarity with US securities laws (1940 Acts).

Strong analytical and problem solving abilities.

Previous experience training, coaching or mentoring team members.

Ability and desire to work in a team-oriented environment.

Desire to grow and advance career within portfolio compliance

Ability to work in a time sensitive environment with multiple priorities.

Project management experience a plus.

Intermediate Microsoft Excel skills (proficient with formulas, functions, charts, macros).

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 - both monetary and non-monetary rewards provided 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 company match

Employee Stock Investment Program

Tuition Assistance Program

Purchase of company funds with no sales charge

Onsite fitness center

Franklin Templeton Investments is an equal opportunity employer and invites you to visit us at

to learn more about our company and career opportunities.

Job Function


Portfolio Management & Trading

Primary Location


United States-California-San Mateo




Job Posting Date


Nov 16, 2012, 3:41:00 PM

About this company
179 reviews
Franklin Resources believes a penny saved is a penny lost -- if it's not wisely invested. Operating as Franklin Templeton Investments, the...