Junior Compliance Officer - Investment Management Advisory
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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 Groups UK investment managers, including AHL, Discretionary and Solutions making it a varied, 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
- Liaise with the Man Data Science team on reviewing of alternative data vendor DDQs
- Assist Investor Services with drafting responses to investor DDQs and RFPs
- Run and enhance where possible existing monthly/quarterly compliance monitoring
- Assist with the running of Man Group’s wall crossing process to support ECM and DCM activity
- Support with updates to compliance documentation and processes e.g. risk assessments, new product processes and conflicts registers
- Assist the Investment Management Compliance team with compliance related initiatives with to a view to developing and strengthening the compliance framework and programme
- Participate in various meetings and committees with infrastructure and investment management teams across the firm assisting the team with providing regulatory and compliance advice
- Assist in the creation, dissemination and delivery of compliance training
- Assist Regulatory Operations on regulatory filings and participate in the annual review of the Form ADV
- Opportunity to support the broader Compliance team on e-communication monitoring and MAR trade surveillance
Key Competencies
- A recent Graduate with strong academics, educated to degree level or equivalent
- Excellent written and verbal communication
- Analytical and problem solving mindset
- Knowledge of Python or similar would be advantageous
- Up to 2 years prior experience in Compliance, Legal, Consulting or a similar role
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