Regulatory Compliance Lead – Asset Management

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

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.