Compliance Analyst

Purpose of the role 

The purpose of the Compliance Analyst role is to perform a wide range of duties, including Policy Review & Testing in support of the Mutual Fund Chief Compliance Officer’s annual SEC Rule 38a-1 Report. The role will also work on other compliance related projects and initiatives associated with Man Group’s various US registered investment advisors. 

Specific responsibilities 

• Conduct compliance monitoring, including Rule 38a-1 testing and maintain test documentation and deliverables 

• Draft written memoranda 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 advisor library 

• Assist with the annual compliance review 

• Respond to Compliance questions, draft, and maintain policies and procedures  

• Keep abreast of regulatory developments  

• Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects 

Key competencies 

• 3+ years of mutual fund related compliance experience in a financial services firm 

• Bachelor’s degree 

• Initiative-taking with exceptional organizational, communication and interpersonal skills  

• Strong ability to review regulatory documentation and provide concise analysis associated with such documentation  

• 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 

Our Culture, Values and Benefits at Man

Man Group is proud to provide the best working environment possible for all of its employees, and we are committed to equal opportunities. At Man Group we believe that a diverse workforce is a critical factor in the success of our business and this is embedded in our culture and values. There are a number of external and internal initiatives, partnerships and programmes that help us to attract and develop talent from diverse backgrounds and that encourage inclusion and diversity across our firm and the industry. Man Group is a Signatory of the Women in Finance Charter and the Race at Work Charter.

Man Group supports many charities, and global initiatives. We support professional training and development, and requests for flexible or part-time working. Employees are also offered two 'Mankind' days of paid leave per year as part of the Man Charitable Trust's community volunteering programme.

We offer comprehensive, firm-wide employee benefits including competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave.  Additional benefits are tailored to local markets and may include private medical coverage, discounted gym membership and wellbeing programmes.

Man Group is a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact Peopleoperations@man.com.

Man Group is a global, technology-empowered active investment management firm focused on delivering alpha and portfolio solutions for clients. Headquartered in London, we manage $174.9 billion* and operate across multiple offices globally.

We invest across a diverse range of strategies and asset classes, with a mix of long only and alternative strategies run on a discretionary and quantitative basis, across liquid and private markets. Our investment teams work within Man Group’s single operating platform, enabling them to invest with a high degree of empowerment while benefiting from the collaboration, strength and resources of the entire firm. Our platform is underpinned by advanced technology, supporting our investment teams at every stage of their process, including alpha generation, portfolio management, trade execution and risk management.

Our clients and the millions of retirees and savers they represent are at the heart of everything we do. We form deep and long-lasting relationships and create tailored solutions to help meet their unique needs.

We are committed to creating a diverse and inclusive workplace where difference is celebrated and everyone has an equal opportunity to thrive, as well as giving back and contributing positively to our communities. For more information about Man Group’s global charitable efforts, and our diversity and inclusion initiatives, please visit: https://www.man.com/corporate-responsibility

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 2024. All investment management and advisory services are offered through the investment engines of Man AHL, Man Numeric, Man Discretionary, Man FRM, Man Varagon, Man Global Private Markets and Man Solutions.