Compliance Officer, Finance & Banking
Listed on 2026-02-16
-
Finance & Banking
Regulatory Compliance Specialist
About Man Group
Man Group is a global alternative investment management firm focused on pursuing out performance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager 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.
About Man Group
Man Group is a global alternative investment management firm focused on pursuing out performance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager 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 $213.9 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 at
As at 30 September 2025
The purpose of the Compliance Officer role is to perform a wide range of duties, including Policy Review, Testing, and preparation of the Man US Registered Funds annual SEC Rule 38a-1 Reports with the Funds’ Chief Compliance Officer. The role will also work on other compliance related projects and initiatives associated with Man Group’s various US registered investment advisers.
Specific Responsibilities- Conduct compliance monitoring, including Rule 38a-1 testing and maintain test documentation and deliverables
- Draft written reports 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 adviser and sub-adviser library
- Assist with the annual compliance reviews
- Respond to Compliance questions, draft, and maintain policies and procedures
- Assist with the review of Fund marketing materials
- Keep abreast of regulatory developments
- Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
- 3+ years of US mutual fund and Investment Company Act of 1940 related compliance experience in a financial services firm
- Bachelor’s degree
- Strong ability to review regulatory documentation and provide concise analysis associated with such documentation
- Self-motivated with exceptional organizational, writing, 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
- Detailed oriented and effective research skills
- Ability to learn new systems
US Pay Range: $130,000 USD - $140,000 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
You’ll have opportunities to make a difference through our charitable and global initiatives,…
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).