Junior Compliance Officer - Operational Compliance

Man Group; London; On-site; GBP 40,000 - 80,000; Full time

Job description

Purpose of Role:
The Operational Compliance team sits within Non-Financial Risk and provides a second line of defence for the firm's activities. Their role includes providing oversight and guidance on the Firm's 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:

1. Responsible for completing regulatory disclosure reporting (short, substantial and takeover), as well as Section 793 Company Act requests.
2. Remain up to date with relevant regulatory and legal requirements in respect of all relevant disclosure requirements.
3. Perform gap analysis to identify areas for improvement in the disclosure system and reports and work with Technology to implement solutions.
4. Assist with the review of procedural documentation and Global Policies at least annually, identifying areas of improvement and propose policy and procedure updates.
5. Provide compliance support to other regional offices including the US and Asia team.
6. 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.
7. Produce Compliance submissions for Man Group governance.
8. Opportunities to be involved in broader range of team activities as the role develops.

Key Skills & Experience:

1. Educated to degree level or equivalent.
2. Experience in a compliance, reporting or regulatory operations role is desirable.
3. Previous experience working in a regulated environment required.
4. A focused, proactive team member able to drive their own development.
5. Self-starter with strong analytical and problem-solving skills.
6. 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 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.

We offer comprehensive, firm-wide employee benefits including competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service 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 [e-mail].

Man Group is a global, technology-empowered active investment management firm focused on delivering alpha and portfolio solutions for clients. Headquartered in London, we manage $174.9 billion* and operate across multiple offices globally.

We invest across a diverse range of strategies and asset classes, with a mix of long only and alternative strategies run on a discretionary and quantitative basis, across liquid and private markets. Our investment teams work within Man Group's single operating platform, enabling them to invest with a high degree of empowerment while benefiting from the collaboration, strength and resources of the entire firm. Our platform is underpinned by advanced technology, supporting our investment teams at every stage of their process, including alpha generation, portfolio management, trade execution and risk management.

Our clients and the millions of retirees and savers they represent are at the heart of everything we do. We form deep and long-lasting relationships and create tailored solutions to help meet their unique needs.

We are committed to creating a diverse and inclusive workplace where difference is celebrated and everyone has an equal opportunity to thrive, as well as giving back and contributing positively to our communities. For more information about Man Group's global charitable efforts, and our diversity and inclusion initiatives, please visit: https://www.man.com/corporate-responsibility

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 www.man.com

* As at 30 September 2024. All investment management and advisory services are offered through the investment engines of Man AHL, Man Numeric, Man Discretionary, Man FRM, Man Varagon, Man Global Private Markets and Man Solutions.