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Compliance Officer - Investment Management

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Man Group

2mo ago

  • Job
    Full-time
    Junior Level
  • Legal
  • London
  • Quick Apply

AI generated summary

  • You should have a degree, 1-2 years in Compliance or related fields, analytical skills, project management experience, and strong communication in a regulated environment.
  • You will manage compliance processes, liaise with teams, enhance monitoring, assist in regulatory filings, respond to inquiries, and stay updated on regulatory changes while supporting training initiatives.

Requirements

  • Educated to degree level or equivalent
  • Background and understanding of the asset management industry would be beneficial
  • Approx. 1-2 years’ relevant experience in a Compliance, Financial Crime, Operational Risk, Investigations, Research, Due Diligence or Legal role preferred
  • Any experience in analytical report writing, production of management information, project management and basic coding/automation would be desirable
  • Exposure working in a regulated environment
  • A focused, proactive, goal-orientated team member
  • Self-starter with strong analytical and problem-solving skills
  • Clear and concise communicator

Responsibilities

  • Act as point person in the running of Man Group’s wall crossing process, which is crucial to the smooth operation of ECM/DCM activity.
  • Laise with members of the wider Compliance team in other jurisdictions on cross-border related matters
  • Participate in various meetings with infrastructure and front office teams, helping the team to provide compliance advice/assistance. This aspect of the role is expected to expand over time.
  • Become an SME in alternative data and the various associated Compliance risks by reviewing data vendor DDQs and acting as lead Compliance liaison with the Man Data Science team
  • Run and enhance where possible certain existing monthly/quarterly Compliance monitoring and testing.
  • Help with team initiatives to develop the wider programme so that it adequately tests adhere with policies and procedures.
  • Understand the existing Compliance Policies and Procedures suite and assist with review and drafting of all necessary updates
  • Develop periodic CMP metrics for reporting purposes (including for the AHL and GLG SYSCs)
  • Support with updates to Compliance documentation and processes e.g. risk assessments, new product processes and conflicts registers.
  • Regulatory Filings: assist in various regulatory filings (including some US filings).
  • Assist in the response to regulatory enquiries and examinations
  • DDQs/RFPs: assist in drafting responses to investor enquiries
  • Regulatory Developments: keep abreast of regulatory developments (with a focus on UK/EU) that may impact the business
  • Regulatory Training: assist in the creation of and dissemination of training

FAQs

What is the primary focus of the Compliance Officer role at Man Group?

The role primarily focuses on equities initially, but there will be opportunities to cover additional asset classes over time.

Who does the Compliance Officer report to?

The Compliance Officer will report into the Head of Compliance, Discretionary.

What kind of experience is preferred for the Compliance Officer position?

Approx. 1-2 years’ relevant experience in a Compliance, Financial Crime, Operational Risk, Investigations, Research, Due Diligence or Legal role is preferred.

What skills are essential for this position?

Essential skills include strong analytical and problem-solving abilities, proactive goal orientation, self-starter mentality, and clear, concise communication.

Is prior knowledge of the asset management industry beneficial for this role?

Yes, a background and understanding of the asset management industry would be beneficial.

Are there any specific compliance risks the Compliance Officer will focus on?

The Compliance Officer will become a subject matter expert in alternative data and the associated compliance risks.

Is the Compliance Officer expected to assist with regulatory filings?

Yes, the Compliance Officer is expected to assist in various regulatory filings, including some U.S. filings.

What opportunities for development are available to employees at Man Group?

Man Group supports professional training and development opportunities, as well as initiatives for flexible or part-time working.

Does Man Group have initiatives for diversity and inclusion?

Yes, Man Group is committed to equal opportunities and has various initiatives to promote diversity and inclusion across the firm and the industry.

What benefits are offered to employees?

Benefits include competitive holiday entitlements, pension/401k, life and long-term disability coverage, enhanced parental leave, private medical coverage, and wellbeing programmes, among others.

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Man Group

Entrepreneurial asset management within an institutional framework.

Finance
Industry
1001-5000
Employees
1783
Founded Year

Mission & Purpose

Man Group. Founded 1783. With a heritage in aiming to deliver attractive performance and tailored client solutions, Man Group is a highly active investment manager, powered by cutting edge investment technology. As a manager of millions of savers’ capital, we have a responsibility as stewards of those investments to create a better, more sustainable future for investors and society. Our quantitative expertise and data-driven culture means we believe Man Group is in a unique position to uncover the opportunities of the future. Our five investment management businesses leverage our robust infrastructure to provide a diverse range of strategies across investment approaches, styles and asset classes. We continuously invest in talent, technology and research as we strive to deliver the best results for our clients.

Benefits

  • Health & Wellbeing

  • Holidays

  • Compensation

  • Flexible Working