Compliance Officer

Man Group•New York, NY

5h•$130,000 - $150,000•Hybrid

About The Position

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via its Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, its 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, it manages $253.6 billion and operates 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. The firm respects applicant privacy and is committed to protecting and safeguarding Personal Data, with policies and processes designed for the security and integrity of Personal Data. The firm is committed to Processing Personal Data fairly and lawfully, and being open and transparent about such Processing.

Requirements

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

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