Compliance Officer - Investment Management

TN United Kingdom; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Compliance Officer to join its investment management team in London. This exciting role involves ensuring compliance across various business lines, particularly focusing on equities, while offering opportunities to expand into additional asset classes. The ideal candidate will thrive in a fast-paced environment, collaborating with diverse teams to provide compliance advice and enhance monitoring processes. Join a company that values diversity and offers a supportive culture, competitive benefits, and a commitment to professional development.

Benefits

Competitive holiday entitlements

Pension/401k

Life and long-term disability coverage

Group sick pay

Enhanced parental leave

Long-service leave

Private medical coverage

Discounted gym membership

Wellbeing programmes

Community volunteering days

Qualifications

• Educated to degree level or equivalent.
• 1-2 years’ experience in Compliance or related roles preferred.
• Experience in analytical report writing and project management desirable.

Responsibilities

• Act as point person in running the wall crossing process.
• Participate in meetings with infrastructure and front office teams.
• Assist in regulatory filings and responses to inquiries.

Skills

Compliance

Analytical Skills

Problem-Solving

Communication

Project Management

Education

Degree in Finance or related field

Tools

Regulatory Compliance Software

Job description

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Compliance Officer - Investment Management, London

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Client:

Man Group

Location:

London, United Kingdom

Job Category:

Finance

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EU work permit required:

Yes

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Job Reference:

3bc8c7a9e0c2

Job Views:

9

Posted:

26.04.2025

Expiry Date:

10.06.2025

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Job Description:

Job Profile Summary:

Man Group is looking to hire a Compliance Officer as part of its investment management Compliance team. The role will report into the Head of Compliance, Discretionary but will assist across a variety of tasks and business lines, including a systematic investment manager, making it a challenging and interesting opportunity. The position will primarily focus on equities initially, but there will be opportunities to cover additional asset classes with time.

The role has a broad remit, and is best suited to individuals who are driven, enjoy a varied, hands-on role in a fast-paced and intellectually stimulating environment.

Responsibilities:

• Act as point person in the running of Man Group’s wall crossing process, which is crucial to the smooth operation of ECM/DCM activity.
• Laise with members of the wider Compliance team in other jurisdictions on cross-border related matters
• Participate in various meetings with infrastructure and front office teams, helping the team to provide compliance advice/assistance. This aspect of the role is expected to expand over time.
• Become an SME in alternative data and the various associated Compliance risks by reviewing data vendor DDQs and acting as lead Compliance liaison with the Man Data Science team
• Run and enhance where possible certain existing monthly/quarterly Compliance monitoring and testing.
• Help with team initiatives to develop the wider programme so that it adequately tests adhere with policies and procedures.
• Understand the existing Compliance Policies and Procedures suite and assist with review and drafting of all necessary updates
• Develop periodic CMP metrics for reporting purposes (including for the AHL and GLG SYSCs)
• Support with updates to Compliance documentation and processes e.g. risk assessments, new product processes and conflicts registers.
• Regulatory Filings: assist in various regulatory filings (including some US filings).
• Assist in the response to regulatory enquiries and examinations
• DDQs/RFPs: assist in drafting responses to investor enquiries
• Regulatory Developments: keep abreast of regulatory developments (with a focus on UK/EU) that may impact the business
• Regulatory Training: assist in the creation of and dissemination of training

Key Skills & Experience:

• Educated to degree level or equivalent
• Background and understanding of the asset management industry would be beneficial
• Approx. 1-2 years’ relevant experience in a Compliance, Financial Crime, Operational Risk, Investigations, Research, Due Diligence or Legal role preferred
• Any experience in analytical report writing, production of management information, project management and basic coding/automation would be desirable.
• Exposure working in a regulated environment
• A focused, proactive, goal-orientated team member
• Self-starter with strong analytical and problem-solving skills
• Clear and concise communicator

Our Culture, Values and Benefits at Man

Man Group is proud to provide the best working environment possible for all of its employees, and we are committed to equal opportunities. At Man Group we believe that a diverse workforce is a critical factor in the success of our business and this is embedded in our culture and values. There are a number of external and internal initiatives, partnerships and programmes that help us to attract and develop talent from diverse backgrounds and that encourage inclusion and diversity across our firm and the industry. Man Group is a Signatory of the Women in Finance Charter and the Race at Work Charter. Man Group is also a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact .

Man Group supports many charities, and global initiatives. We support professional training and development, and requests for flexible or part-time working. Employees are also offered two 'Mankind' days of paid leave per year as part of the Man Charitable Trust's community volunteering programme.

We offer comprehensive, firm-wide employee benefits including competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Additional benefits are tailored to local markets and may include private medical coverage, discounted gym membership and wellbeing programmes.

Man Group is a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact .