Compliance Officer

Man Group•New York, NY

9h•$130,000 - $150,000•Remote

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 $253.6 billion and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is aمنت of the FTSE 250 Index. Further information can be found at www.man.com. At Man Group, we respect your privacy and we are committed to protecting and safeguarding your Personal Data. We have developed policies and processes which are designed to provide for the security and integrity of your Personal Data. We are committed to Processing your Personal Data fairly and lawfully, and being open and transparent about such Processing. For further information on how we process your data, please see the privacy notice for applicants here.

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)
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