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