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Compliance Officer
The Compliance Officer at Man Group in Massachusetts is responsible for conducting compliance monitoring, reviewing regulatory documents and preparing reports for senior management and the Board of Directors. The position requires experience in US Mutual Fund and Investment Company Act compliance as well as excellent organizational and communication skills.
Job description: Compliance Officer
Tasks
- Perform compliance monitoring, including Rule 3b-1 testing and maintenance of test documentation and results
- Preparation of written reports with results of compliance monitoring and Rule 3b-1 tests for senior management and inclusion in quarterly board materials
- Contribute to other reports for inclusion in Board materials, prepare minutes for committee meetings, and synthesize and communicate interactions with internal departments and external vendors as part of Rule 3b-1 requirements
- Support with the review and compilation of regulatory submissions
- Support in securing new fund registrations
- Maintenance of a library of USD 15 million for consultants and sub-consultants
- Support with annual compliance reviews
- Answering compliance questions, drafting and maintaining policies and procedures
- Support with the review of fund marketing materials
- Monitoring regulatory developments
- Collaborating with the compliance team and supporting other compliance-related functions and ad hoc projects
Requirements
- 5+ years of experience in US Mutual Fund and Investment Company Act of 1940 compliance in a regulated environment
- Bachelor's degree
- Strong ability to review regulatory documentation and provide accurate analysis
- Self-motivated with exceptional organizational, writing, communication and interpersonal skills
- Ability to work both independently and as part of a team
- Detail-oriented and effective research skills
- Ability to learn new systems
We offer
- Comprehensive benefits package, including competitive vacation, pension, 401k, life and long-term disability insurance, group life insurance, enhanced parental leave and long-term service leave
- Depending on the location, additional benefits such as private health insurance, discounted gym memberships and pet insurance may be offered
- Culture that values diversity and inclusion
- Annual and bi-annual wellbeing initiatives, partnerships and programs to promote development and learning
Job details
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