Investment Compliance

Investment Compliance

Man's Portfolio Risk team is responsible for implementing and monitoring regulatory and contractual investment restrictions across the company's investment portfolios. The team also advises portfolio management on the creation and maintenance of compliance frameworks with guidelines for scalable best practices; works closely with investment technology to ensure robust implementation of limits; and collaborates with legal departments to ensure consistency in the documentation of investment restrictions.

Specific tasks

• Analyze and review compliance alerts to ensure adherence to investment mandates, and work with traders and portfolio managers to resolve exceptions
• Developing and Testing Pre-Trade Alerts
• Checking investment restrictions for new mandates before activation
• Investment restrictions and regulatory limits are then stress-tested as necessary

Requirements

• Work closely with the Product Legal and Structuring teams to specify changes to prospectuses or other documents as needed
• Work with the technology team to define the system enhancements needed to implement new monitoring and analytics capabilities in response to changing requirements
• Bachelor's or master's degree in a field with an analytical component
• Preference for 2–5 years of experience in a similar role at another asset management firm
• Ability to manage multiple projects simultaneously and set priorities
• Practical knowledge of investment strategies used as part of a portfolio manager’s investment management, including derivatives and short positions as part of their strategy
• Experience in reviewing investment policies, offering memorandums, and investment management agreements
• Experience in monitoring portfolios subject to investment restrictions via UCATS, 3(c)7 funds, and U.S. mutual funds
• Excellent attention to detail and analytical skills
• Ability to work in a trading desk environment
• Basic programming skills; preferably Excel/VBA, SQL, Python

We offer

The expected base salary range for this position is $80,000–$150,000 USD. Compensation packages would also include benefits and a discretionary bonus. This is the base salary range that the company believes it can offer for this position. The company reserves the right to adjust this range depending on circumstances.

Inclusion, Work-Life Balance, and Benefits at Man Group

You will thrive in our work environment, which promotes equal opportunity and diversity. By contributing to our mission of fostering a culture where individuals develop a sense of ownership and purpose through our external and internal initiatives, you will find opportunities to grow, develop your skills, and promote an inclusive environment for everyone in our company and across the industry. Our comprehensive benefits include defined-contribution pensions, vacation time, gym membership, life and long-term disability insurance, group health insurance,