Marketing Compliance Officer
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 $178 bn* 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 recognise thatresponsible investingis intrinsically linked to our fiduciary duty to our clients, and we integrate this approach broadly across the firm.
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 atwww.man.com
For more information about Man Group’s commitment to diversity and inclusion, please visitwww.man.com/diversity
*As at 30 June 2024. All investment management and advisory services are offered through Man Group regulated investment management subsidiaries.
Purpose of the role
The Marketing Compliance Officer will review and approve all communications to the public including, but not limited to, marketing materials, monthly reports, factsheets, request for proposals, due diligence questionnaires, website content and electronic communications.
Specific responsibilities
- Coordinate with various teams including investment management compliance, marketing, investment services, supervisory principal(s) and all applicable business units in order to timely review and approve all communications
- Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC, FINRA, NFA, CFTC, rules, laws and regulations
- Assist in the drafting of appropriate disclosures
- Conduct compliance monitoring program relating to marketing materials, update policies and procedures and conduct periodic training with personnel
- Maintain the records of all approved materials as per SEC and FINRA recordkeeping rules and internal policies and procedures
- Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
- Providing support in the Identification, analysis, implementation and monitoring of regulatory initiatives relevant to sales, distribution and marketing
- Support the development of policies and guidance to ensure the firm has the necessary tools to produce compliant marketing materials
Key competencies
- 3+ years of marketing compliance experience in a financial services firm
- Experience with marketing materials for credit strategies
- Current Series 7 and 24 licenses or acquiring such licenses within 3 months of hire
- Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
- Knowledgeable in the Investment Advisers Act of 1940 as it relates to marketing and advertising
- Self-motivated with strong organizational, writing and communication 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
Base Salary Range: The anticipated base salary range for this position is $120,000-$130,000 + benefits + 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.
Equal Employment Opportunity Policy
Man provides equal employment opportunities to all applicants for employment and all employees without regard to race, color, creed, national origin, ancestry, religion, disability, sex, gender identity and expression, marital status, sexual orientation, military or veteran status, age or any other legally protected category or status in accordance with applicable federal, state and local laws.
Work-Life Balance 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 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.https://www.man.com/diversity. Man Group is also a Signatory of the Women in Finance 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 programme
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 is also a Disability Confident Committed employer; if you require help or information on reasonable adjustments as you apply for roles with us, please contact Write an email. https://www.man.com/diversity
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 Write an email.
