Compliance Officer

Man Group PLC Boston , MA 02101

Posted 3 months ago

About Man Group

Man Group is a global active investment management firm, which runs $114.4bn* of client capital in liquid and private markets, managed by investment specialists based around the world. Headquartered in London, the firm has 15 international offices and operates across multiple jurisdictions. Our business has five specialist investment engines, which represent the range of our capabilities: Man AHL, Man Numeric, Man GLG, Man FRM and Man GPM.

These engines house numerous investment teams, working collaboratively within the framework of Man Group, with a high degree of investment autonomy. Each team benefits from the strength and resources of the firm's single operating platform, enabling their primary focus to be seeking to generate alpha for clients. The teams invest across a diverse range of strategies and asset classes with highly specialised approaches, with long only and alternative strategies run on a discretionary and quantitative basis in single and multi-manager formats. Our clients are at the heart of everything we do and we engage in close dialogue with our investors as strategic partners, to understand their particular needs and constraints. Man Group's investment teams are empowered and supported by our institutional infrastructure and technology, which aims to facilitate the efficient exposure to markets and effective collaboration across the organisation.

Through the Man Charitable Trust, Man Group is committed to promoting literacy and numeracy on a global scale, and to supporting charitable causes more broadly.

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 at

For more information about Man Group's commitment to diversity and inclusion, please visit

  • As at 30 June 2019. All investment management and advisory services are offered through the investment "engines" of Man AHL, Man Numeric, Man GLG, Man FRM and Man Global Private Markets (GPM).

About Man Numeric

Man Numeric employs systematic security-selection processes that are underpinned by a bottom-up, fundamental approach, offering both long only and alternative strategies. The team's highly experienced professionals operate collaboratively, distilling their analytical and investment expertise into systematic processes which are applied across regions, styles, and capitalisations.

Man Numeric has a strong history in public equities, focusing on bottom-up stock selection processes based on fundamental, causal market relationships and reinforced by continuous research. Its approach seeks to capitalise on temporary market inefficiencies, with models that look to identify mispricing opportunities. Furthermore, the engine seeks to innovate continually and research new areas and opportunities. Man Numeric has significant capabilities in systematic responsible investing, with around half of its assets managed employing some form of sustainability screen.

Founded in 1989 and becoming part of Man Group in 2014, Man Numeric's funds under management were $35.0bn at 30 June 2019. Further information can be found at

Purpose of the role

Assist in maintaining and administering the compliance program at Numeric as well as other compliance related projects and initiatives.

Specific Responsibilities:

  • A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements

  • Role will comprise many facets of compliance which may include regulatory filings (Form ADV and other filings)

  • New account onboarding

  • Client compliance reporting and questionnaires

  • Annual compliance review

  • Compliance monitoring program

  • Responding to Compliance questions, drafting and maintaining policies and procedures

  • Keeping abreast of regulatory developments which may impact the Firm and ad-hoc compliance projects


  • 3-5 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, NFA/CFTC

  • Self-motivated with exceptional organizational, communication and interpersonal skills

  • Ability to work in a busy environment and multi-task in an independent, self-directed manner and also as part of a team

Diversity, Work-Life Balance and Benefits at Man Group

Man Group is proud to provide the best working environment possible for all of its employees, and we are committed to equality of opportunity. 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. We run a number of external and internal initiatives, partnerships and programmes that help us to attract and develop talent from diverse backgrounds and encourage diversity and inclusion across our firm and industry. Man Group is also a Signatory of the Women in Finance Charter.

Man Group also supports many charities, and global initiatives. We support professional training and development, and requests for flexible or part-time working. Employees are also offered two 'Mankind' days of paid leave per year as part of the Man Charitable Trust's community volunteering programme.

Man Principles


First, foremost and always, we focus on achieving superior risk-adjusted performance.


Our clients are at the heart of everything we do.


Good is not enough, we strive to be excellent in all we do.


We expect our people to do the right thing and conduct our business with the highest standards of integrity.


We seek to be differentiated and original in our thinking.


We succeed through talent, commitment, diligence and teamwork.


icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Compliance Officer

Ceres Group

Posted 3 weeks ago

VIEW JOBS 8/22/2019 12:00:00 AM 2019-11-20T00:00 Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in. Position Overview: The Compliance Officer will be a member of the global compliance team and will support the firm's Chief Compliance Officer in developing, implementing, testing and enforcing the firm's compliance program. Responsibilities: * Review and coding of client mandates into the Charles River compliance system and the daily review of portfolios within the Charles River compliance system. * General compliance related responsibilities as a member of the compliance team in support of the firm's Compliance and Risk programs including the review of marketing and advertising materials in compliance with the Advisers Act and other relevant regulatory requirements, compliance specific client reporting, and Code of Ethics review and enforcement. * Preparation and filing of required regulatory filings both in the U.S. and abroad. * Other compliance related responsibilities as directed. Qualifications: * Bachelor's degree in Business or related and 8-10 years of relevant compliance experience at a registered investment adviser * Series 3, 7, 24 and other FINRA licensing a plus. * Significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basis * Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act * Experience with the review and approval of marketing and advertising materials, including website content, in compliance with the Advisers Act * A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements * Experience preparing and making regulatory filings both in the U.S and abroad including with the SEC, NFA/CFTC and Canada. * Strong work ethic and attention to detail;Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and support * Team orientation and willingness to engage in tasks of all sizes; Great communication skills #LI-JW1 Ceres Group Boston MA

Compliance Officer

Man Group PLC