Marketing Compliance Officer

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 $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

* As at 30 September 2025

Specific 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

Key competencies

• 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

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.