Compliance Officer

Man Group•New York, NY

1d•$130,000 - $150,000

About The Position

The Compliance Officer performs required compliance functions in coordination with and under the direction of the CCO/Head of Compliance. The role supports regulatory filings, compliance reviews and monitoring, regulatory inquiries, onboarding, and compliance policy updates for Man Group’s Solutions and Discretionary businesses. It also provides guidance to investment staff and trading desks, monitors regulatory developments, and supports wider compliance projects and business change initiatives.

Requirements

A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA, and NFA/CFTC requirements.
At least 3 years of relevant experience.
Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA, and NFA/CFTC.
Self-motivation and exceptional organizational, communication, and interpersonal skills.
Ability to work in a busy environment and multitask independently and as part of a team.
Ability to navigate and learn new systems.

Nice To Haves

Relevant experience at a hedge fund or large asset management firm.

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 to compliance policies and procedures.
Prepare regulatory filings, including Form ADV, Form 40, and others.
Develop and execute the Compliance Monitoring Program for the Solutions and Discretionary businesses.
Support new account and fund onboarding.
Provide support for ad hoc wider compliance projects and regulatory business change initiatives.
Analyze wall-cross requests, secondary offerings in relation to Rule 105, and requests from investment teams.
Assist investment staff and the trading desk with compliance-related questions.
Monitor the regulatory landscape for rule changes.
Advise on responses to DDQs, RFPs, and other questionnaires.

Benefits

Discretionary bonus.
Professional development opportunities.
Flexible working arrangements.
Two annual paid 'Mankind' days for community volunteering.
Competitive holiday entitlements.
Pension/401k.
Life and long-term disability coverage.
Group sick pay.
Enhanced parental leave.
Long-service leave.
Depending on location, private medical coverage, discounted gym membership options, and pet insurance may also be available.