Man Group · 4 hours ago
Compliance Officer
Massachusetts
Full-time
Onsite
Mid Level
$130K/yr - $140K/yr
3+ years expMan Group is a global alternative investment management firm focused on delivering superior performance for its clients. The Compliance Officer will be responsible for a variety of compliance-related tasks including monitoring, reporting, and assisting in regulatory filings for US registered investment advisers.
Financial Services
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
Qualification
Required
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
Benefits
Competitive holiday entitlements
Pension/401k
Life and long-term disability coverage
Group sick pay
Enhanced parental leave
Long-service leave
Private medical coverage
Discounted gym membership options
Pet insurance
Company
Man Group
Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Robyn Grew
CEO
Walter Owens
CEO Man Varagon
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