Compliance Officer

Purpose of the role

The role of compliance officer encompasses a wide range of responsibilities, including policy review, testing, and the preparation of regulatory reports, with a focus on 3(b)-1 filings with the Federal Reserve Bank, the Federal Reserve System, and related U.S. registration advisors.

Specific responsibilities

- Performing control monitoring, including Rule 36b-1 testing and maintaining test documentation and results - Preparing written reports with the results of compliance monitoring and Rule 36b-1 testing for senior management and quarterly board materials - Assisting in the review of other reports for inclusion in board materials, writing minutes for committee meetings - Coordinating and conducting interviews with internal departments and external suppliers as part of 36b-1 requirements - Assisting in the review and completion of regulatory filings - Ensuring that relevant compliance materials are properly maintained - Maintaining the 15c-2 database and sub-adviser library - Responding to compliance questions, creating and maintaining policies and procedures - Assisting with ad hoc requests for compliance and marketing materials - Staying up to date on regulatory developments - Working closely with the compliance team and assisting with other compliance-related functions and ad hoc projects

Key competencies

- 3+ years of experience in US mutual fund and Investment Company Act of 1940 compliance at a financial services firm - Regulatory/compliance experience - Strong ability to review regulatory documentation and perform accurate analysis - Ability to create and maintain compliance documentation - Excellent written and verbal communication skills - Self-motivated with exceptional organizational, writing, communication, and interpersonal skills - Ability to work in a busy environment and handle multiple tasks simultaneously, both independently and as part of a team - Detail-oriented with 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.

Inclusion, work-life balance and benefits at Man Group

- Competitive vacation entitlements - Pension/VR insurance - Life and long-term disability insurance - Group health insurance - Enhanced parental leave and long-term leave - Depending on the location, additional benefits such as private health insurance, discounted gym membership, and pet insurance may be offered.