Job Description

Working in a highly collaborative and collegial group with exposure to all areas of the Firm, the Compliance Associate is responsible for assisting in the administration of all aspects of the Firm's global regulatory compliance programs including, among other things, the implementation of compliance policies, procedures and processes; monitoring pursuant to the Firm's Code of Ethics; performing marketing review and approval; and the execution of the Firm's compliance monitoring function.

Essential Job Functions:

* Assist in the implementation of global compliance policies, procedures and processes for a U.S. registered investment manager with a global presence.
* Perform compliance oversight and conduct compliance testing, as directed by the Compliance Manager.
* Assist in the administration of the Firm's Code of Ethics, including conducting new employee and annual Code of Ethics training and the review of personal trading.
* Assist in the development and administration of quarterly compliance training for Firm employees.
* Coordinate and prepare regulatory filings for various US and international securities regulators.
* Review marketing and advertising materials to ensure accuracy and compliance with U.S. and international regulatory requirements.
* Serve as a resource to the Firm, providing a range of support and guidance on regulatory compliance requirements.
* Support client service by advising on client due diligence requests, requests for information, as well as ad hoc requests.
* Assist in coordinating and responding to examinations conducted by the U.S. Securities and Exchange Commission, National Futures Association, FINRA, the Financial Conduct Authority, the Monetary Authority of Singapore, Ontario Securities Commission, our parent company, and other outside entities.
* Assist in compliance-related projects involving cross-department stakeholders, as needed.



Job Specifications:

* Knowledge and familiarity with the Investment Advisers Act, the Investment Company Act, and the Commodity Exchange Act
* Knowledge and familiarity with applicable non-US Laws and regulations a plus.
* Self-motivated and intellectually curious
* Detail oriented; demonstrates thoroughness and strong ownership of work
* Strong critical thinking and problem-solving skills
* Superior interpersonal skills with the ability to establish and maintain relationships at all organizational levels
* Excellent verbal and written communication skills
* High degree of confidentiality and integrity
* Professional and collegial team-player with a willingness to go beyond the job description
* Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work, and meet competing deadlines
* Good business judgment

Education/Experience:

* Bachelor's Degree
* Minimum of 3-5 years' experience in investment management industry

Requirements:

This position requires an individual who possesses the personal attributes and the professional experience consistent with the Firm's high standards of conduct and performance. In performing the job, the individual must: (i) always act in the best interests of clients, (ii) continuously evaluate and escalate areas of risk to the Firm, (iii) work cohesively and effectively with people across all functions, and (iv) comply with all Firm policies and procedures. Accordingly, it is expected that the individual is of high moral character, well-organized and self-directed, with strong personal skills and an ability to execute work objectives in a dynamic, fast-paced environment.

ABOUT US: Brandywine Global, as a Specialist Investment Manager of Franklin Resources, Inc., offers the advantages of an investment boutique backed by the resources and infrastructure of one of the world's leading asset managers. With headquarters in Philadelphia and offices in London1, Singapore2, Toronto3, and Montreal3, we are committed to bringing value to all our relationships.

At Brandywine Global, we believe in the power of value investing. Acting with conviction and discipline, we look beyond short-term, conventional thinking to rigorously pursue long-term value for our clients. Where others see risk, we see potential.

Since 1986, our global experience has provided clients with investment insights and a range of differentiated fixed income, equity, and alternative solutions. We thrive in a culture of debate that encourages ideas, respects diverse viewpoints, and invites candid discussion. By challenging one another and conventional thinking, we make better investment decisions and create value for our clients. Learn more about our Company by visiting us on the web, https://brandywineglobal.com

Brandywine Global is an Equal Opportunity Employer