Compliance Officer

Man Group

4d•$130,000 - $140,000

About The Position

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our 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, we manage $213.9 billion and operate 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. Further information can be found at www.man.com As at 30 September 2025 Purpose of the role The purpose of the Compliance Officer role is to perform a wide range of duties, including Policy Review , Testing, and preparation of the Man US Registered Funds annual SEC Rule 38a-1 Reports with the Funds’ Chief Compliance Officer. The role will also work on other compliance related projects and initiatives associated with Man Group’s various US registered investment advisers.

Requirements

3+ years of US mutual fund and Investment Company Act of 1940 related compliance experience in a financial services firm
Bachelor’s degree
Strong ability to review regulatory documentation and provide concise analysis associated with such documentation
Self-motivated with exceptional organizational, writing, 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
Detailed oriented and effective research skills
Ability to learn new systems

Responsibilities

Conduct compliance monitoring, including Rule 38a-1 testing and maintain test documentation and deliverables
Draft written reports containing results of compliance monitoring and Rule 38a-1 testing for senior management and inclusion in quarterly Board materials
Contribute to other reports for inclusion in Board materials, writing minutes for committee meetings
Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements
Assist in reviewing and compiling regulatory filings
Assist is ensuring New Fund Registrations are made appropriately
Maintain 15c adviser and sub-adviser library
Assist with the annual compliance reviews
Respond to Compliance questions, draft, and maintain policies and procedures
Assist with the review of Fund marketing materials
Keep abreast of regulatory developments
Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects