Central & Operations Compliance Officer

Purpose of the role

The Central & Operations Compliance department is a team of six people that covers a wide range of compliance topics, including Central Control of Ethics & Compliance, Monitoring, Risk & Reporting, and Investment Operations. This role plays a key part in the control function within the compliance function and provides oversight for all areas of the investment management process.

Specific responsibilities

• Administration of the Code of Ethics, including handling employee inquiries regarding personal accounts, gifts, and entertainment, as well as outside activities.
• Monitoring and coordinating employee confirmations and managing escalations related to outstanding confirmations and training sessions.
• Conducting compliance audits of codes of ethics to identify non-compliance and report violations, such as reviewing management information and preparing reports for senior management.
• Utilizing Vilia (Man Group’s Artificial Intelligence Accelerator) and other advanced technology platforms to improve efficiency in processes such as monitoring, reporting, and compliance management.
• Support in preparing compliance management information, including monthly Key Risk Indicators (KRIs) and analysis of regulatory reports covering MiFIR, EMIR, and SFTR.
• Preparation of statistics for the Business Risk, Systems Risk, and Control Committees.
• Support in addressing broader team-related issues, particularly within the compliance monitoring program.

Technical skills

• Either prior experience in a compliance or operations role with transferable technical skills (e.g., compliance monitoring, regulatory reporting).
• Workflow management; setting priorities, preparation, planning, focusing on key tasks, identifying deadlines, and preparation.
• Building successful working relationships; high - views tasks as opportunities, clarifies the current situation, facilitates agreement, and understands the key principles.
• Identifying effective solutions; Identification—identifies problems and opportunities, gathers information, interprets information; proposes alternatives, weighs pros and cons; decides on alternative courses of action; informs others and obtains approval; commits to taking action; reviews alternative courses of action; modifies or adapts as needed.
• Self-motivated; able to work independently and manage tasks; excellent communication skills.

Inclusion, work-life balance and benefits

You will thrive in our work environment, which promotes equal opportunity. Your unique perspective will contribute to our success and offer you more than just a job. Through our external and internal initiatives, partnerships, and programs, you will find opportunities to grow, develop your talents, and create an inclusive environment for everyone in our company and across the industry. You’ll have opportunities to make a difference by supporting our charitable and global initiatives while advancing your career through professional development and flexible work arrangements. Like all our employees, you’ll receive two months’ salary for volunteer work as well as an additional day for community activities. Our comprehensive benefits package includes competitive vacation time, anonymous