Compliance Officer — Asset Management & Regulatory Filings

Man Group; New York (NY); Presencial; USD 130 000 - 150 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Two annual 'Mankind' days

Private medical coverage

Pension/401k

Life and long-term disability

Resumo da oferta

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.

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Regulatory knowledge

Attention to detail

Organizational skills

Communication skills

Team collaboration

Descrição da oferta de emprego

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.