Compliance Officer - Investment ManagementMan Group is looking to hire a Compliance Officer as part of its investment management Compliance team. The role will report into the Head of Compliance, Discretionary but will assist across a variety of tasks and business lines, including a systematic investment manager, making it a challenging and interesting opportunity. The position will primarily focus on equities initially, but there will be opportunities to cover additional asset classes with time.
The role has a broad remit, and is best suited to individuals who are driven, enjoy a varied, hands-on role in a fast-paced and intellectually stimulating environment.
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 adherence 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.Key Skills & Experience: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.
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