Compliance Officer

Purpose of the role

The role of Compliance Officer encompasses a wide range of responsibilities, including policy review, testing, and review of the compliance risk and regulatory framework (CRRF) surrounding SIFC's business with the First Chief Compliance Officer. The role will also work on other compliance-related projects and initiatives related to Man Group's various US-registered investment advisors.

Specific responsibilities

• Conducting control tests, including Rule 38a-1 tests, and maintaining test documentation and results
• Preparation of written reports with the results of compliance monitoring and Rule 38a-1 testing for senior management and in connection with quarterly board materials
• Contributing to and compiling reports for inclusion in board materials, writing minutes for committee meetings
• Participation in interviews with internal departments and external suppliers as part of the 38a-1 requirements
• Support in reviewing and completing registration documents
• Support in reviewing how existing policies and procedures are being properly implemented
• Assistance with the annual review of our CCO and support library
• Maintenance of the S1C consultant and sub-consultant library
• Responding to compliance questions, creating and maintaining policies and procedures
• Reporting to compliance, risk, and regulatory reporting, and support with marketing materials
• Staying up to date on regulatory developments
• Work closely with the compliance team and assist with other compliance-related functions and ad hoc requests.

Key competencies

• 3+ years of experience in US mutual fund and Investment Company Act of 1940 compliance at a financial services firm
• Regulatory experience
• Ability to review regulatory documentation and produce accurate analyses
• Strong attention to detail
• Self-motivated with exceptional organizational, writing, communication and interpersonal skills
• Ability to work in a busy environment and handle multiple tasks independently and as part of a team
• Detail-oriented and effective research skills
• Ability to learn new systems

Compensation and benefits

The expected base salary for this position is between $150,000 and $160,000 USD. The compensation package also includes benefits and a discretionary bonus. Our comprehensive benefits package includes competitive vacation entitlements, pension and NQDC benefits, life and long-term disability insurance, group health insurance, enhanced parental leave, and long-term leave. Depending on your location, you may also benefit from our additional benefits such as private health insurance, discounted gym membership, options, and pet insurance.