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 that responsible investing is 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 at www.man.com

For more information about Man Group’s commitment to diversity and inclusion, please visit www.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