Compliance Officer

Found in: Talent UK C2 - 1 week ago

London, United Kingdom Man Group Full time

Job Profile Summary:

This role sits in the Compliance team and is responsible for compliance oversight of the Group’s operations. The Compliance team provides a second line of defence, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures, including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Group.

As part of the Operations and Technology Compliance team, this employee will be responsible for acting as an infrastructure partner and providing compliance oversight of the Man Group’s Operations and Technology Functions.

Responsibilities:

Acting as an adviser and first point of contact in relation to compliance matters for the Operations and Technology functions across Man Coverage will include, but are not limited to, advising on: fund trade administration and accounting matters; post-trade operational matters such as trade booking, affirmation/confirmation, clearing and settlement models, margin requirements, trade, transaction and position reporting, client reporting, client money and Fund regulatory reporting as well as cross infrastructure regulations such as outsourcing, record keeping and voice recording requirements. Identify, analyse, implement and monitor regulatory initiatives relevant to Man’s Operations and Technology functions. Assist in the drafting, periodic review and updates of Operations and Technology Compliance policies and procedures. Advise on the applications of compliance policies and regulatory requirements in relation to existing and new business initiatives, issue identification and management and breach resolution. Assist in the development and delivery of compliance training Development and execution of the Compliance Monitoring Programme for Operations and Technology (including forensic testing, monitoring and the annual compliance review and report) Participating in due diligence review of service providers, policies and procedures, resolution of compliance related matters Preparation of corporate and/or Fund board reports and other senior management reporting Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise

Key Skills & Experience:

Strong academic achievement and background – University degree or equivalent Proven experience in a regulatory compliance or similar profession Good regulatory and operational understanding of financial products and global regulation relating to the asset management industry: UCITS; AIFMD; FCA COLL and Fund handbooks; CASS; COBs and broader financial service industry including MIFID II, EMIR and SFTR Knowledge and familiarity with outlook, word, excel and in-house systems Comfortable operating at all levels within the Firm and wider industry groups Ability to work in a busy environment with tight deadlines and high standards Strong research, analytical and problem-solving skills and comfortable using data to drive understanding of operational compliance risks Well organised with a strong attention to detail Highly motivated, and self-starting with strong organisational and communication skills (both written and oral)

Our Culture, Values and Benefits at Man

Man Group is proud to provide the best working environment possible for all of its employees, and we are committed to equal opportunities. At Man Group we believe that a diverse workforce is a critical factor in the success of our business and this is embedded in our culture and values. There are a number of external and internal initiatives, partnerships and programmes that help us to attract and develop talent from diverse backgrounds and that encourage inclusion and diversity across our firm and the industry. Man Group is a Signatory of the Women in Finance Charter and the Race at Work Charter. Man Group is also a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact .

Man Group supports many charities, and global initiatives. We support professional training and development, and requests for flexible or part-time working. Employees are also offered two 'Mankind' days of paid leave per year as part of the Man Charitable Trust's community volunteering programme.

We offer comprehensive, firm-wide employee benefits including competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Additional benefits are tailored to local markets and may include private medical coverage, discounted gym membership and wellbeing programmes.

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