Franklin Templeton

Resolve compliance alerts, monitor trading accounts, and ensure adherence to SEC and internal policies. | 2-4 years investment compliance experience with 2 years in alternative investments, bachelor's degree required, CFA/FRM preferred. | At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs. Come join us in delivering better outcomes for our clients around the world! About the department The Investment Compliance team safeguards Franklin Templeton’s portfolios by ensuring investments align with regulatory requirements, client guidelines, and internal policies. The team partners with Portfolio Management, Trading, Investment Risk, and Operations to maintain accurate data, resolve issues, and support compliant trading activity. Team members work collaboratively across global offices and gain exposure to complex investment products, regulatory frameworks, and advanced compliance systems. How you will add value Core 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. Strategic Responsibilities Access and improve controls and processes. Onboard new accounts and set up appropriate compliance rules. Support projects as necessary and complete ad‑hoc requests. Team & Collaboration You will coordinate with Operations, Fund Accounting, Technology, and other support teams. You will collaborate with global trading and portfolio teams, including India‑based groups. You will partner with New Business Services team to ensure new accounts are set up properly from a compliance perspective What will help you be successful in this role Experience, Education & Certifications 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 (MBA preferred) CFA or FRM certification preferred Knowledge of SEC regulations Technical Skills Experience with compliance tools such as Charles River or Aladdin Proficiency with MS Office Soft Skills Strong communication and collaboration skills Analytical and problem‑solving abilities Ability to manage tight deadlines High attention to detail Ability to work independently Work Schedule & Location Hybrid work model, three days per week in the New York City office. Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, a 401(k) plan with a generous match, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and 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) and a motivational wellbeing program. We expect the annual salary range for this position to be $82,500-$97,500 depending on location and level of relevant experience, plus discretionary bonus. #ASSOCIATE #LI-Hybrid Experience our welcoming culture and reach your professional and personal potential! Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life. By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton. Highlights of our benefits include: 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* *Only applicable at certain locations Learn more about the wide range of benefits we offer at Franklin Templeton 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. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response. 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!

Lead the design, development, and deployment of AI and blockchain technology platforms, oversee architecture and operations, and build a technical team to support innovation initiatives. | 15+ years in technology leadership with 5+ years in AI/ML product engineering or architecture, advanced technical degrees, and experience in platform architecture, preferably in financial services. | At Franklin Templeton, we’re advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs. Come join us in delivering better outcomes for our clients around the world! About FIRST Franklin Innovation Research, Strategies, & Technologies (FIRST) brings together Franklin Templeton’s teams focused on innovation initiatives, allowing for new synergies to emerge, linking our actions to our thought leadership/research, & offering a central point from which to coordinate broader firm activities & partner engagement. Job Description The FIRST Innovation Hub and Venture Studio is seeking a dynamic and experienced individual to join our team as the VP/Head of FIRST Technology Platform to lead new technology application development driven by AI and blockchain. In this role, you will be responsible for research and development of new applications and products leveraging emerging technologies and models. The firm’s focus on AI is a significant growth area for FT. There is a significant increase in demand for generative AI driven capabilities in the wealth management industry. We are making investment in AI research and building AI driven platforms that underpin our global digital product offerings. As the VP/Head of FIRST Technology Platform, this role will oversee the conceptualization, architecture, building and maintenance of the FIRST technology projects. Generative AI will play a key role in the capability set with the convergence of blockchain technology. The role would lead the architecture of this platform, the MLOps and LLMOps processes, and the integration of capability sets by multiple technology, AI/ML and LLM providers. The role would also oversee the due diligence of any digital partnerships and strategic investments. Responsibilities • Work with clients, external vendors, startups, and FT organizational teams to design and build new offerings driven by AI and/or blockchain products. • Oversee the design, development, and deployment of the AI / technology platforms, ensuring their scalability, performance, and security. • Build the ML Ops, LLM Ops framework and delivery capability set. • Collaborate with cross-functional teams, including data scientists, engineers, and product managers, to ensure seamless integration of AI / technology solutions into the company's products, services and infrastructure. • Layout the architecture and platform that interconnects all the building blocks of cognitive, generative, reactive AI in a flexible way that adapts to the ever-changing ecosystem. • Enable AI as a strategic asset and deploy a reusable framework across multiple parallel experimentation driven product roadmaps. • Drive architectural transformation within and outside the company. Have a thorough understanding of the ecosystem. • Build out a technical team to support FIRST purpose and objective. Qualifications • Extensive experience in AI, Tech Architecture and Product Engineering • Minimum 15+ years of leadership experience with significant background in technology, AI and data. • At least 5 years in a leading AI/ML Product Engineering or Architecture role. • Demonstrated ability to build, deploy and scale AI driven products. • Demonstrated understanding of platform architecture, ideally in an investment/wealth management environment. Understanding financial/investment advice can be a plus though not a must. • Demonstrated ability to manage complex programs, including execution, implementation and influencing skills. Ability to manage conflicting priorities and to influence the broader organization. • Team player mindset with an ability to test, learn and pivot. • Passion for driving business growth. Prefer Knowledge, Skills, Experience • Master’s in Engineering, Computer Science, or other relevant technical disciplines required. • Master’s and/or Background in AI/ML and analytics will be relevant. Professional certifications and post graduate experience that demonstrate these capabilities will be relevant. • PhD in related fields preferred. • Any background/certification in investment or wealth management preferred but not necessary. Along with base compensation, other compensation is offered such as a discretionary bonus, 401k plan, health insurance, and other perks. There are several factors taken into consideration in making compensation decisions including but not limited to location, job-related knowledge, skills, and experience. At Franklin Templeton, we apply a total reward philosophy where all aspects of compensation and benefits are taken into consideration in determining compensation. We expect the base salary for this position to range between $275,000 - $300,000 per year plus bonus opportunity. Experience our welcoming culture and reach your professional and personal potential! Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life. By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have your needs covered. Learn more about the wide range of benefits we offer at Franklin Templeton. Highlights Of Our Benefits Include • 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* • Only applicable at certain locations Learn more about the wide range of benefits we offer at Franklin Templeton 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. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.