Compliance Officer

Man Group•New York, NY

2d•$130,000 - $150,000•Onsite

About The Position

This role sits in the Compliance team based in NY and to work as part of the team under the direction of the Head of Compliance. The Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Firm.

Requirements

A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements
5+ 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

Responsibilities

Perform required compliance functions in coordination with and under the direction of the Head of Compliance
Assist with new product launches and client on-boarding
Assist with drafting, periodic review and updates of Compliance policies and procedures
Conduct regulatory analysis of new rules and existing rules and their impact across the Firm
Assist with the development and delivery of compliance training
Assist with the development and execution of the Compliance Monitoring Program
Work with other team members in coordinating the annual compliance review across several RIAs
Assistance with the resolution of compliance related matters
Assist in the preparation of regulatory filings (Form ADV and other)
Assist in the preparation of responses to regulatory questions and reviews
Provide support on any other compliance related matters
Work on ad hoc projects
Responding to ad-hoc Compliance questions