Compliance Officer

Purpose of the role

The role of Compliance Officer encompasses a wide range of responsibilities, including policy review, testing, and reporting to the Risk and Compliance Division (RCD) on all 3b-1 reports with the front office. The role will also work on other compliance-related projects and initiatives related to Man Group's regulated investment activities in the US.

Specific responsibilities

• Monitoring of the control framework, including 3b-1 testing and maintenance of documentation and records
• Preparation of written reports containing the results of compliance monitoring and 3b-1 testing for senior management and the Executive Board at quarterly Executive Board meetings
• Collaborating on other reports for inclusion in board documents, writing minutes for committee meetings
• Participation in and collaboration on interviews with internal departments and external suppliers within the scope of the 3b-1 requirements
• Support with the review and compilation of regulatory submissions
• Assistance in ensuring that the relevant business units maintain their records appropriately
• Maintenance of the STC library and the sub-adviser library
• Responding to compliance questions, creating and maintaining policies and procedures
• Support with the annual review and updating of marketing materials
• Staying up to date on regulatory developments
• Closer collaboration with the compliance team and support with other compliance-related functions as ad hoc projects

Key competencies

• 3+ years of experience in compliance for US mutual funds and the Investment Company Act of 1940 at a financial services company
• Regulatory experience
• Strong ability to review regulatory documentation and perform accurate analyses
• Ability to work under tight deadlines
• Self-motivated with exceptional organizational, writing, communication, and interpersonal skills
• Ability to work in a busy environment and multitask, both independently and as part of a team
• Detailed and effective research skills
• Ability to learn new systems

We offer

• A comprehensive compensation package that includes competitive vacation entitlements, pension/401(k) benefits, disability benefits, group health insurance, extended parental leave, and long-term service benefits.
• Flexible working arrangements, such as our "Work from Home" (WFH) model on certain days of the week
• Opportunities to make a difference through our charitable and global initiatives while advancing your career through professional development