Central and Operations Compliance Officer

1w1 week ago

Man Group

London, GB · Full-time · £75,000 – £100,000

About this role

Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via Systematic, Discretionary and Solutions offerings. Headquartered in London, it manages $227.6 billion and operates across multiple offices globally. The Central & Operations Compliance team of five covers Code of Ethics, Complaints, SMCR, Governance, CASS, and regulatory reporting.

This role plays a vital part in Non-Financial Risk as the primary point of contact for the Compliance Code of Ethics programme. It produces Compliance Management Information supporting governance submissions to Risk & Finance and Audit & Risk Committees. The position ensures adherence to regulatory and internal standards across business areas.

Daily responsibilities include managing the Code of Ethics system and handling employee queries on Personal Account Dealing, Gifts & Entertainment, and Outside Business Activities. Draft and coordinate employee attestations while managing escalations of outstanding attestations and training. Conduct compliance monitoring to detect non-compliance and manage conflicts of interest.

The team provides exposure to all areas of the business in a dynamic environment. Utilise MAIA and advanced technology platforms to improve efficiency and enhance monitoring. This offers a unique opportunity to reshape compliance approaches using cutting-edge technology.

Requirements

Some prior work experience in Compliance or an Operations role with transferable technical skills (e.g. middle office, regulatory reporting)
High proficiency in managing workflows: prioritises, makes preparations, schedules, stays focused and identifies opportunities to improve processes
Familiarity with Code of Ethics, SMCR, Governance, CASS, EMIR, MiFID and AIFMD
Experience producing Compliance Management Information and Key Risk Indicators
Ability to conduct compliance monitoring and manage conflicts of interest
Proficiency utilising technology platforms for compliance processes

Responsibilities

Manage the Code of Ethics system, including handling employee queries related to Personal Account Dealing, Gifts & Entertainment, and Outside Business Activities
Draft and coordinate employee attestations and manage escalations of outstanding attestations and training
Conduct compliance monitoring on Code of Ethics matters to detect non-compliance, issue breaches, manage conflicts of interest and produce related Management Information
Utilise MAIA (Man Artificial Intelligence Accelerator) and other advanced technology platforms to improve efficiency in processes and enhance monitoring coverage
Support the production of Compliance Management Information, including monthly Key Risk Indicators (KRIs) and Compliance Reports for the Risk & Finance and Audit & Risk Committees
Produce statistics for Business Unit Systems & Controls Committees
Support coverage of broader team topics particularly in the Compliance Monitoring Programme