What are the responsibilities and job description for the Compliance Analyst position at Man Group?
Purpose of the role
The purpose of the Compliance Analyst role is to perform a wide range of duties, including Policy Review & Testing in support of the Mutual Fund Chief Compliance Officer’s annual SEC Rule 38a-1 Report. The role will also work on other compliance related projects and initiatives associated with Man Group’s various US registered investment advisors.
Specific responsibilities
- Conduct compliance monitoring, including Rule 38a-1 testing and maintain test documentation and deliverables
- Draft written memoranda containing results of compliance monitoring and Rule 38a-1 testing for senior management and inclusion in quarterly Board materials
- Contribute to other reports for inclusion in Board materials, writing minutes for committee meetings
- Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements
- Assist in reviewing and compiling regulatory filings
- Assist is ensuring New Fund Registrations are made appropriately
- Maintain 15c advisor library
- Assist with the annual compliance review
- Respond to Compliance questions, draft, and maintain policies and procedures
- Keep abreast of regulatory developments
- Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
Key competencies
- 3 years of mutual fund related compliance experience in a financial services firm
- Bachelor’s degree
- Initiative-taking with exceptional organizational, communication and interpersonal skills
- Strong ability to review regulatory documentation and provide concise analysis associated with such documentation
- Self-motivated with strong organizational, writing and communication skills
- Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
- Detailed oriented and effective research skills
- Ability to learn new systems
