Man Group is looking to hire a Junior Compliance Officer as part of its investment management Compliance team. The role will report into the Head of Compliance, AHL but will assist across a variety of tasks and business lines across all of Man Group's UK investment managers, including AHL, Discretionary and Solutions making it a challenging and interesting opportunity.
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
1. Alternative data onboarding – liaise with the Man Data Science team on reviewing of alternative data vendor DDQs
2. Investor enquiries – assist Investor Services with drafting responses to DDQs and RFPs
3. Run and enhance where possible existing monthly/quarterly Compliance monitoring and testing
4. Assist with the running of Man Group’s wall crossing process to support ECM and DCM activity
5. Support with updates to compliance documentation and processes e.g. risk assessments, new product processes and conflicts registers
6. Assist the Investment Management Compliance team with compliance-related initiatives with a view to developing and strengthening the compliance framework and programme
7. Participate in various meetings with infrastructure and front office teams across the firm helping the team provide regulatory and compliance advice
8. Assist in the creation, dissemination and delivery of compliance training
9. Assist Regulatory Operations on regulatory filings and participate in the annual review of the Form ADV
10. Opportunity to support the broader Compliance team on large holding disclosures, e-communication monitoring and MAR trade surveillance
Qualifications
1. Strong academics - educated to degree level or equivalent
2. Analytical and problem-solving mindset
3. Knowledge of Python or similar would be advantageous
4. Prior experience in a Compliance or similar role
Man Group is a global, technology-empowered active investment management firm focused on delivering alpha and portfolio solutions for clients.
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