Junior Compliance Officer - Operational Compliance
Junior Compliance Officer - Operational Compliance
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Job Description
Purpose of Role:
The Operational Compliance team sits within NonFinancial Risk and provides a second line of defence for the firms activities. Their role includes providing oversight and guidance on the Firms Compliance with applicable rules regulations internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls.
The Operational Compliance team provides support and assurance to the business across Regulatory Investment and Client Operations with responsibilities including regulatory reporting (MiFIR EMIR AIFMD Shareholding Disclosures) Voice Recording Outsourcing and Fund Services Oversight through a full scope of Compliance activities from Advisory to Monitoring.
This role will report to the Head of Operational Compliance in a current team of 3 people.
Responsibilities:
Responsible for completing regulatory disclosure reporting (short substantial and takeover) as well as Section 793 Company Act requests
Remain up to date with relevant regulatory and legal requirements in respect of all relevant disclosure requirements
Perform gap analysis to identify areas for improvement in the disclosure system and reports and work with Technology to implement solutions
Assist with the review of procedural documentation and Global Policies at least annually identifyingareas of improvement and propose policy and procedure updates
Provide compliance support to other regional offices including the US and Asia team
Assist members of the Operational Compliance team with Compliance Monitoring Programme delivery across team scope including regulatory reporting (EMIR and MiFIR) MiFID voice recording and CASS
Produce Compliance submissions for Man Group governance
Opportunities to be involved in broader range of team activities as the role develops
Key Skills & Experience:
Educated to degree level or equivalent
Experience in a compliance reporting or regulatory operations role is desirable
Previous experience working in a regulated environment required
A focused proactive team member able to drive their own development
Selfstarter with strong analytical and problemsolving skills
Experience with technical or detailed processes beneficial but not essential
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 supports many charities and global initiatives. We support professional training and development and requests for flexible or parttime working. Employees are also offered two Mankind days of paid leave per year as part of the Man Charitable Trusts community volunteering programme.
We offer comprehensive firmwide employee benefits including competitive holiday entitlements pension/401k life and longterm disability coverage group sick pay enhanced parental leave and longservice leave. Additional benefits are tailored to local markets and may include private medical coverage discounted gym membership and wellbeing programmes.
Man Group is 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 is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic Discretionary and Solutions offerings. Powered by talent and advanced technology our single and multimanager investment strategies are underpinned by deep research and span public and private markets across all major asset classes with a significant focus on alternatives. Man Group takes a partnership approach to working with clients establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent.
Headquartered in London we manage $168.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. Further information can be found atwww.man
* As at 31 Dec 2024
Required Experience:
Junior IC
Employment Type
Full Time
