Specific Responsibilities- Perform required compliance functions in coordination with and under the direction of the CCO/Head of Compliance
- Assist with the Annual Compliance Review
- Assist with NFA PQR and SEC Form PF filings
- Coordinate responses to inquiries and interact with regulators as necessary
- Oversee NFA requirements including fund registrations
- Assist with updates of Compliance policies and procedures
- Prepare regulatory filings (Form ADV, Form 40, and others)
- Develop and execute the Compliance Monitoring Program for Solutions and Discretionary businesses
- New account and fund onboarding
- Provide support to ad-hoc wider compliance projects and regulatory business change initiatives as they arise
- Analyze wall-cross requests, secondary offerings in relation to Rule 105 and requests from the investment teams
- Assist in supporting investment staff and trading desk with compliance related questions
- Monitor regulatory landscape for rule changes
- Advise on responses to DDQs, RFPs, and other questionnaires
Qualifications- A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements 3+ years of relevant experience (preferably at a hedge fund or large asset management firm)
- Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC.
- Self-motivated with exceptional organizational, communication and interpersonal 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
- Ability to navigate and learn new systems
The anticipated based salary range for this position is listed below. Compensation packages would also include benefits and a discretionary bonus. This is the base salary range that the Company believes it will pay for this position at the time of this posting based on the location and requirements of the position as well as the skills, qualifications, and experience of the applicant. The Firm reserves the right to modify this pay range at any time.
New York Pay Range
$130,000-$150,000 USD
Inclusion, Work-Life Balance and Benefits at Man GroupYou'll thrive in our working environment that champions equality of opportunity. Your unique perspective will contribute to our success, joining a workplace where inclusion is fundamental and deeply embedded in our culture and values. Through our external and internal initiatives, partnerships and programmes, you'll find opportunities to grow, develop your talents, and help foster an inclusive environment for all across our firm and industry. Learn more at www.man.com/diversity.
You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering.
Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance.
