Compliance Officer

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

Benefits offered by this job

Two annual 'Mankind' days

Private medical coverage

Pension/401k

Life and long-term disability

Job summary

Man Group is seeking a Compliance professional in New York to perform required compliance functions under the direction of the CCO/Head of Compliance and assist with filings and regulatory reviews.

Role involves coordinating with regulators, overseeing NFA requirements, and developing Monitoring programs for Solutions and Discretionary businesses. Prior hedge fund or asset management experience is preferred; strong regulatory knowledge is essential.

Qualifications

• 3+ years of compliance or regulatory experience in hedge funds or asset managers.
• Strong understanding of the Investment Advisers Act of 1940, ERISA, and NFA/CFTC requirements.
• Self-motivated with organizational and interpersonal skills.
• Ability to multi-task in a busy environment and work both independently and in a team.
• Ability to navigate and learn new systems.

Responsibilities

• Perform compliance functions in coordination with 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 compliance projects and regulatory changes.
• Analyze wall-cross requests and Rule 105-related matters.
• Support investment staff and trading desk with compliance questions.
• Monitor regulatory changes and responses to DDQs, RFPs, etc.

Skills

Regulatory knowledge

Attention to detail

Organizational skills

Communication skills

Team collaboration

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.

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 be found at www.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.

• As at 30 June 2026

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)
• Strong working knowledge 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

New York Pay Range: $130,000 USD - $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 [e-mail].