Compliance Officer

LGBT Great; New York (NY); On-site; USD 130,000 - 150,000; Full time

Job summary

Man Group is seeking a Compliance Specialist in New York to support the CCO/Head of Compliance in regulatory functions across Investment Advisers Act, ERISA, and NFA/CFTC. The role includes coordination of filings, onboarding, and regulatory monitoring.

You will assist with the Annual Compliance Review, Form ADV/40 filings, and responses to inquiries, while ensuring policies and procedures stay current in a busy asset management environment.

Qualifications

• Experience with Investment Advisers Act of 1940, ERISA, NFA/CFTC requirements
• 3+ years experience in hedge funds or large asset management
• Strong organizational and communication skills
• Ability to work in busy environment with multitasking

Responsibilities

• Carry out compliance functions with the CCO/Head of Compliance
• Assist with Annual Compliance Review
• Support NFA PQR and SEC Form PF filings
• Coordinate regulator inquiries and responses
• Oversee NFA registrations
• Prepare regulatory filings (Form ADV, Form 40, and others)
• Develop and execute the Compliance Monitoring Program for Solutions and Discretionary businesses
• New account and fund onboarding
• Support regulatory change initiatives as they arise
• Analyze wall-cross requests and other regulatory questions

Skills

Investment compliance

Regulatory knowledge

Communication skills

Multitasking

Regulatory inquiries

Job description

About Man Group

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent.

Headquartered in London, we manage $253.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can .man.com

At Man Group, we respect your privacy and we are committed to protecting and safeguarding your Personal Data. We have developed policies and processes which are designed to provide for the security and integrity of your Personal Data. We are committed to Processing your Personal Data fairly and lawfully, and being open and transparent about such Processing. For further information on how we process your data, please see the privacy notice for applicants here.

Specific Responsibilities

• Perform required compliance functions in coordination with and under the direction of the CCO/Head of Compliance
• Assist with the Annual Compliance Review
• Assist with NFA PQR and SEC Form PF filings
• Coordinate responses to inquiries and interact with regulators as necessary
• Oversee NFA requirements including fund registrations
• Assist with updates of Compliance policies and procedures
• Prepare regulatory filings (Form ADV, Form 40, and others)
• Develop and execute the Compliance Monitoring Program for Solutions and Discretionary businesses
• New account and fund onboarding
• Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise
• Analyze wall-cross requests, secondary offerings in relation to Rule 105 and requests from the investment teams
• Assist in supporting investment staff and trading desk with compliance related questions
• Monitor regulatory landscape for rule changes
• Advise on responses to DDQs, RFPs, and other questionnaires

Qualifications

• A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements 3+ years of relevant experience (preferably at a hedge fund or large asset management firm)
• of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC.
• Self-motivated with exceptional organizational, communication and interpersonal skills
• Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
• Ability to navigate and learn new systems

The anticipated based salary range for this position is listed below. Compensation packages would also include benefits and a discretionary bonus. This is the base salary range that the Company believes it will pay for this position at the time of this posting based on the location and requirements of the position as well as the skills, qualifications, and experience of the applicant. The Firm reserves the right to modify this pay range at any time.

New York Pay Range

$130,000 - $150,000 USD

Inclusion, Work-Life Balance and Benefits at Man Group

You'll thrive in our working environment that champions equality of opportunity. Your unique perspective will contribute to our success, joining a workplace where inclusion is fundamental and deeply embedded in our culture and values. Through our external and internal initiatives, partnerships and programmes, you'll find opportunities to grow, develop your talents, and help foster an inclusive environment for all across our firm and industry. Learn more at www.man.com/diversity.
You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering.

Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance.

Equal Employment Opportunity Policy

Man Group provides equal employment opportunities to all applicants and all employees without regard to race, color, creed, national origin, ancestry, religion, disability, sex, gender identity and expression, marital status, sexual orientation, military or veteran status, age or any other legally protected category or status in accordance with applicable federal, state and local laws.

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 .