Marketing Compliance Officer

Man Group•New York, NY

28d

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

Requirements

3+ years of marketing compliance experience in an asset management firm
Current Series 7 and 24 licenses
Proficient in the rules and requirements of the Investment Advisers Act of 1940 as it relates to marketing and advertising
Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
Self-motivated with strong organizational, writing and communication 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

Coordinate with various teams including investment management compliance, marketing, investment services, supervisory principal(s) and all applicable business units in order to timely review and approve all communications
Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC, FINRA, NFA, CFTC, rules, laws and regulations
Assist in the drafting of appropriate disclosures
Conduct compliance monitoring program relating to marketing materials, update policies and procedures and conduct periodic training with personnel
Maintain the records of all approved materials as per SEC and FINRA recordkeeping rules and internal policies and procedures
Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
Providing support in the Identification, analysis, implementation and monitoring of regulatory initiatives relevant to sales, distribution and marketing
Support the development of policies and guidance to ensure the firm has the necessary tools to produce compliant marketing materials