Compliance Analyst

About 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. 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 $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at www.man.com.

* As at 31 March 2025

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 

Inclusion, Work-Life Balance and Benefits at Man Group
You'll thrive in our working environment that champions equality of opportunity. Your unique perspective will contribute to our success, joining a workplace where inclusion is fundamental and deeply embedded in our culture and values. Through our external and internal initiatives, partnerships and programmes, you'll find opportunities to grow, develop your talents, and help foster an inclusive environment for all across our firm and industry. Learn more at www.man.com/diversity.

You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering.

Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance.

Equal Employment Opportunity Policy

Man Group provides equal employment opportunities to all applicants and all employees without regard to race, color, creed, national origin, ancestry, religion, disability, sex, gender identity and expression, marital status, sexual orientation, military or veteran status, age or any other legally protected category or status in accordance with applicable federal, state and local laws.

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 TalentAcquisition@man.com.

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 $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found at www.man.com.

* As at 31 March 2025