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Investment Compliance Analyst

Man Group plc
London, United Kingdom
Closing date
Jun 27, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Man's Portfolio Risk team is responsible for implementing and monitoring regulatory and contractual investment restrictions across the business. The team also advises PMs on trading decisions, negotiates investment guidelines with clients, works closely with development technology teams to ensure robust implementation of limits, and with the legal team to ensure consistency in documentation of investment restrictions.

  • Analyse real time risk/compliance alerts to ensure consistency with investment mandates, and work with traders and portfolio managers to resolve exceptions
  • Manage pre-trade risk/compliance alerts, working with technology and front office to ensure there is a robust pre-trade risk framework
  • Review investment restrictions for new mandates prior to finalization
  • Implement mandate and regulatory limits in Man's risk system, developing new reporting analytics where required
  • Investigate potential breaches of investment restrictions and maintain the central breach log
  • Work closely with Product Legal and structuring teams to specify prospectus or other document amendments as required
  • Work with Technology to specify system enhancements required to implement new monitoring and analysis associated with strategy requirements

Skills/Experience Required
  • Undergraduate or Master's Degree in a subject with an analytical component
  • Preferably 5-7 years' experience in performing a similar function for another asset manager
  • Ability to conceptualize and perform calculations that are part of a portfolio of investments and derivatives
  • Working knowledge of investment strategies applied in portfolio management including portfolios that apply derivatives and short positions as part of their strategy
  • Experience in reviewing investment guidelines, Offering Memorandums, and Investment Management Agreements
  • Experience in monitoring for portfolio investment requirements associated with UCITS, 3(c ) 7 funds, and US mutual funds
  • Detail oriented and effective research and analytical skills
  • Ability to work in a trading desk environment
  • Moderate programming skills, preferably Excel/VBA, SQL, Python

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