Compliance Officer - Investment Management

Man 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.

• 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.

• 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.