Head of Investment Compliance

At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified 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 offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.

Come join us in delivering better outcomes for our clients around the world!

We are seeking a highly experienced and motivated Head of Investment Compliance to lead a dynamic team of compliance professionals. This individual will play a key leadership role in ensuring portfolio and trading desk compliance, driving strategic compliance initiatives, and engaging with senior stakeholders across the business. This position is critical to maintaining the integrity of our investment activities and will contribute directly to shaping the compliance culture within the organization#MID_SENIOR_LEVEL

What are the ongoing responsibilities of this position?

Team Leadership & Development

• Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.
  
  

Portfolio & Trading Desk Compliance

• Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.
  
  

Stakeholder & Relationship Management

• Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.
  
  

Regulatory Compliance & Reporting

• Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.
  
  

Compliance Systems & Process Oversight

• Manage compliance operations on platforms such as Quantis, Charles River, and Aladdin, including new account setup, rule implementation, and pre/post trade compliance monitoring.
  
  

Project Leadership

• Lead and participate in compliance-related projects, including system upgrades and new regulatory implementations. Provide strategic input and technical oversight.
  
  

Training & Change Management

• Develop and deliver training programs to trading desks and investment teams, with a focus on evolving regulatory landscapes.
  
  

Creative Problem Solving & Risk Mitigation

• Identify compliance risks and develop proactive solutions. Continuously improve monitoring procedures, systems, and internal controls.
  
  

What qualifications, skills, and experience would help someone to be successful?

Experience

• Minimum 15 years in the investment management industry, with at least 10 years in a compliance leadership role, with a focus on investment compliance.
• Experience working with Indian mutual fund regulations (SEBI, AMFI) across asset classes including equities, fixed income, and derivatives.
• Proven success in managing high-performing teams and handling complex compliance projects.
  
  

Education & Certifications

• Bachelor’s degree in Accounting, Finance, or Business Administration (MBA is a plus).
• Professional certifications such as CFA or FRM are highly desirable.
  
  

Technical & Functional Skills

• Strong knowledge of compliance systems (Quantis, Charles River, Aladdin).
• Proficiency in MS Office and MS Project.
• Excellent analytical, problem-solving, and decision-making skills.
  
  

Leadership & Communication

• Strong stakeholder management and interpersonal skills.
• Ability to influence across levels and present complex ideas with clarity.
• Demonstrated ability to balance strategic vision with operational detail.
  
  

Attributes For Success

• Highly motivated, trustworthy, and independent.
• Creative thinker with a proactive, solutions-oriented mindset.
• Able to manage multiple priorities in a dynamic environment.
• Committed to fostering a culture of compliance and continuous improvement.
  
  

Other Requirements

• Willingness to travel as required.
  
  

Job Level - Manager

Work Shift Timings - 9:00 AM - 6:00 PM IST

Experience our welcoming culture and reach your professional and personal potential!

Our culture is shaped by our diverse global workforce and strongly held core values. 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.

Hear more from our employees

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 them covered.

Highlights Of Our Benefits Include

• Professional development growth opportunities through in-house classes and over 150 Web-based training courses
• An educational assistance program to financially help employees seeking continuing education
• Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
• Life insurance for protection of employees’ families
• Personal accident insurance for protection of employees and their families
• Personal loan assistance
• Employee Stock Investment Plan (ESIP)
• Annual recognition programme
• Volunteer services and paid time off for volunteering
• 12 weeks Paternity leave
• Located in the heart of Mumbai in the One International Centre, with spectacular views of the buzzing city
• Walking distance of 100 meters from Western/Central railway station, accessible by road and local rail from all parts of the city
  
  

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 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.

Franklin Templeton is committed to fostering a diverse and inclusive environment. 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 [email protected]. 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.