Compliance Officer

Purpose of the role

This role is based in the Compliance Team in New York and works as part of the team under the direction of the Head of Compliance. The Compliance Team serves as a second line of defense, and this role involves monitoring and discussing compliance with company policies, regulations, and laws, as well as collaborating with other departments within the company to develop and maintain appropriate systems.

Specific responsibilities

The role encompasses many aspects of compliance, including:

• Performing the necessary compliance functions in coordination with and under the direction of the Chief Compliance Officer
• Support for pre- and post-trade product launches
• Assistance with the development, review, and updating of compliance policies and procedures
• Conducting regulatory reviews of new transactions and existing trades and their impact on the company
• Support in the development and implementation of the compliance monitoring program
• Support with other matters that contribute to an effective compliance review
• Assistance in resolving compliance-related matters
• Assistance with the preparation of regulatory forms (AIFMD and others)
• Assistance in preparing responses to regulatory audits and reviews
• Providing support for other compliance-related matters
• Internal and ad hoc projects
• Responding to Ad Hoc Compliance Questions

Qualifications

• A solid foundation and a strong understanding of the Investment Advisers Act of 1940, ERISA, and the NFA/CFTC
• Familiarity with or experience in investment products and/or a high-quality or large asset management firm
• In-depth knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA, and the NFA/CFTC
• Self-motivated with exceptional organizational, communication, and interpersonal skills
• Ability to work in a busy environment and perform multiple tasks simultaneously, both independently and as part of a team
• Ability to navigate and learn new systems

Salary and benefits

The expected base salary for this position ranges from $150,000 to $200,000 USD. The compensation package also includes benefits and other compensation components.

Incentives, Work-Life Balance, and Benefits at Man Group

You will thrive in our work environment, which promotes equal opportunity. Your unique perspective will add value, and we embrace diversity. 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 industry.

Equal Employment Opportunities

Man Group offers equal employment opportunities to all applicants and employees, regardless of race, color, creed, national origin, ancestry, religion, disability, sexual orientation, gender identity and expression, marital status, veteran status, or any other protected category or status as defined by applicable federal, state, and local