Compliance Officer

Purpose of the role

The role of Compliance Officer encompasses a wide range of responsibilities, including policy review, testing, and performance monitoring of the US investment management business and the $130 billion AUM business with the Chief Compliance Officer in London. The role will also work on other compliance-related projects and initiatives related to Man Group's various US registration advisors.

Specific responsibilities

• Controlling monitoring, including Rule 38a-1 testing and maintenance of test documentation and results
• Preparation of written reports on the results of compliance monitoring and Rule 38a-1 testing for senior management and investment managers at quarterly board meetings
• Collaborating on other reports for inclusion in board documents, writing minutes for committee meetings
• Coordination and conducting of interviews with internal departments and external suppliers within the scope of the 38a-1 requirements
• Support in reviewing and completing regulatory submissions
• Assistance in reviewing how regulatory files and records are properly maintained
• Support with the annual review of policies and procedures
• Responding to compliance questions, creating and maintaining policies and procedures
• Maintenance of the 15c-6 advisor and sub-advisor library
• Maintaining awareness of regulatory developments
• Work closely with the compliance team and assist with other compliance-related functions as requested.

Key competencies

• 10+ years of experience in US mutual fund and Investment Company Act of 1940 compliance at a financial services company
• Regulatory compliance
• Ability to translate data into manageable steps and perform precise analyses
• Strong ability to review regulatory documentation and perform accurate analyses
• Ability to work in a dynamic environment and handle multiple tasks independently and as part of a team
• Detail-oriented and effective research skills
• Ability to learn new systems

Salary and benefits

The expected base salary for this position is between $130,000 and $240,000 USD. The compensation package also includes benefits and a discretionary bonus.

Support and benefits at Man Group

You will work in an environment that promotes quality and opportunity. Your unique perspective will contribute to our culture, which is based on performance and transparent decision-making processes. You will have opportunities to develop your skills, advance your career, and achieve results for everyone. Our comprehensive benefits include competitive vacation entitlements, pension/retirement plans, life and long-term disability insurance, group health insurance, extended parental leave, and long-term leave. Depending on your location, you may also enjoy additional benefits such as private health insurance, discounted gym membership, and pet insurance.