Compliance Officer

Compliance Officer

Man Group

About Man Group Man Group is a global alternative investment management firm focused on pursuing outperformance 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 $228.7 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 www.man.com At Man Group, we respect your privacy and we are committed to protecting and safeguarding your Personal Data. We have developed policies and processes which are designed to provide for the security and integrity of your Personal Data. We are committed to Processing your Personal Data fairly and lawfully, and being open and transparent about such Processing. For further information on how we process your data, please see the privacy notice for applicants here * As at 31 March 2026   Purpose of the role This role sits in the Compliance team based in NY and to work as part of the team under the direction of the Head of Compliance. The Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Firm. Specific Responsibilities: Role will comprise many facets of compliance which may include * Perform required compliance functions in coordination with and under the direction of the Head of Compliance * Assist with new product launches and client on-boarding * Assist with drafting, periodic review and updates of Compliance policies and procedures * Conduct regulatory analysis of new rules and existing rules and their impact across the Firm * Assist with the development and delivery of compliance training * Assist with the development and execution of the Compliance Monitoring Program * Work with other team members in coordinating the annual compliance review across several RIAs * Assistance with the resolution of compliance related matters * Assist in the preparation of regulatory filings (Form ADV and other) * Assist in the preparation of responses to regulatory questions and reviews * Provide support on any other compliance related matters * Work on ad hoc projects * Responding to ad-hoc Compliance questions Qualifications * A good foundation and strong understanding of the Investment Advisers Act of 1940, ERISA and NFA/CFTC requirements 5+ years of relevant experience (preferably at a hedge fund or large asset management firm) * Strong working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA and NFA/CFTC * Self-motivated with exceptional organizational, 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 * Ability to navigate and learn new systems       The anticipated based salary range for this position is listed below. Compensation packages would also include benefits and 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. US Pay Range $130,000—$150,000 USD Inclusion, Work-Life Balance and Benefits at Man Group You'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 www.man.com/diversity. You'll have opportunities to make a difference through our charitable and global initiatives, while advancing your career through professional development, and with flexible working arrangements available too. Like all our people, you'll receive two annual 'Mankind' days of paid leave for community volunteering. Our comprehensive benefits package includes competitive holiday entitlements, pension/401k, life and long-term disability coverage, group sick pay, enhanced parental leave and long-service leave. Depending on your location, you may also enjoy additional benefits such as private medical coverage, discounted gym membership options and pet insurance. Equal Employment Opportunity Policy Man Group provides equal employment opportunities to all applicants 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. 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 TalentAcquisition@man.com.

Compliance Officer

Verifone

Why Verifone For more than 30 years Verifone has established a remarkable record of leadership in the electronic payment technology industry. Verifone has one of the leading electronic payment solutions brands and is one of the largest providers of electronic payment systems worldwide. Verifone has a diverse, dynamic and fast paced work environment in which employees are focused on results and have opportunities to excel. We take pride in the fact that we work with leading retailers, merchants, banks, and third-party partners to invent and deliver innovative payments solution around the world. We strive for excellence in our products and services and are obsessed with customer happiness. Across the globe, Verifone employees are leading the payments industry through experience, innovation, and an ambitious spirit. Whether it’s developing the next platform of secure payment systems or searching for new ways to bring electronic payments to new markets, the team at Verifone is dedicated to the success of our customers, partners and investors. It is this passion for innovation that drives each one of our employees for personal and professional success. About the role The APAC Compliance Lead is responsible for ensuring regulatory compliance and overseeing risk management activities across Verifone’s APAC entities, including outsourced compliance operations. This role partners closely with internal teams and serves as a key point of contact for regulatory authorities, providing strategic guidance on compliance frameworks, particularly in ABAC, third‑party due diligence, and payments regulation. What you'll do: * Ensure compliance across APAC entities, including oversight of outsourced compliance and risk functions * Act as the primary liaison with APAC regulatory agencies alongside the Compliance team * Provide advisory support on regulatory requirements, with focus on ABAC, third‑party due diligence, and payments regulation * Lead and manage Anti‑Bribery & Anti‑Corruption programs (FCPA, UK Bribery Act, OECD, and APAC laws) * Oversee ABAC casework, including gifts & hospitality, conflicts of interest, and related approvals * Manage third‑party due diligence programs covering distributors, agents, suppliers, and partners * Drive distributor and reseller risk management, including sanctions exposure and end‑user screening * Oversee supply chain due diligence aligned with CS3D and Modern Slavery requirements * Support Modern Slavery Act reporting and APAC human rights disclosures * Conduct APAC regulatory horizon scanning and provide proactive insights * Provide second‑line compliance support across AML/CTF, sanctions, whistleblowing, and investigations * Maintain integrity risk analysis, compliance frameworks, and governance structures * Execute compliance calendar and ensure continuous policy updates and improvements * Educate and coach teams on compliance best practices and foster a strong compliance culture What qualifications will you need to be successful? * Bachelor’s degree in legal, Law or a related field. * Minimum 5 years of proven experience in compliance roles within APAC, preferably in payments, fintech, or financial services * Strong knowledge of ABAC regulations (FCPA, UK Bribery Act, APAC local laws) * Expertise in third‑party due diligence, sanctions, and risk management * Experience engaging with regulatory bodies in APAC * Solid understanding of AML/CTF, modern slavery, and supply chain compliance * Ability to manage complex compliance frameworks and risk registers * Strong stakeholder management, communication, and advisory skills * Demonstrated ability to operate in a fast‑paced, global, and matrixed environment * High integrity, attention to detail, and sound judgment Our commitment Verifone is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. Verifone is also committed to compliance with all fair employment practices regarding citizenship and immigration status.

Compliance Officer

Unknown Employer

What’s in it for you as an employee of QFG? * Health & wellbeing resources and programs * Paid vacation, personal, and sick days for work-life balance * Competitive compensation and benefits packages * Work-life balance in a hybrid environment with at least 3 days in office * Career growth and development opportunities * Opportunities to contribute to community causes * Work with diverse team members in an inclusive and collaborative environment   This job posting is for an existing vacancy   We’re looking for our next Compliance Officer. Could It Be You? The purpose of the Compliance Officer is to assist Questrade in the supervision of client and account activity and provide support investigating escalated complaints and document requests from external regulators.   Need more details? Keep reading… In this role, responsibilities include but are not limited to: * Questrade is seeking a candidate who is interested in pursuing a career in compliance. We are seeking a motivated individual with proven analytical skills, a high degree of accountability and professionalism, strong organization skills, solid oral and written communication skills, attention to detail, exceptional follow-through and a strong sense of ethics. * The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade’s Compliance and Supervision programs to ensure that the Dealer is in Compliance with policies and procedures, CIRO,CSA and MX Rules, and all other applicable securities regulations.   The responsibilities of the Compliance Officer are as follows: * Investigate client complaints escalated to Compliance and draft written responses as delegated by the Manager, Business Integrity * Gather documentation and responses to respond to requests for information from various regulators including formal Production Orders from securities authorities and law enforcement. * Complete detailed reporting and analysis for subsidiaries to report to their Board of Directors on a quarterly basis. * Monitor and assess compliance by Questrade, staff, and clients * Review red flag escalations from client facing staff for seniors/vulnerable clients and account appropriateness * Act as a source of regulatory knowledge to support business units and new initiatives within the organization * Committee administration * Conduct internal audits * Maintaining a compliance recordkeeping system * Other ad hoc duties as assigned   The Compliance Officer is expected to: * Become familiarized with CIRO, OSC and MX rules and all other related laws and regulations * Develop a clear understanding of compliance standards required by individuals * Adhere to Questrade’s compliance policies and procedures * Learn to investigate cases and perform initial case analysis to support senior compliance staff * Become proficient in Questrade’s data management systems, including QOffice and BPS * Work cooperatively with team members and other departments during investigations   So are YOU our next Compliance Officer? You are if you… * 4 year post-secondary degree and 1-2 years financial services experience * Proficient in Microsoft Excel * Exceptional verbal and written skills with the ability to communicate to all audiences in a clear and compelling manner * Strong organization and time management skills essential * Completion or enrolment in Canadian Securities Course (CSC) is an asset * Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other  regulatory requirements * Demonstrates analytical, problem-solving, and resourcefulness skills * Collaborates and communicates effectively   Additional kudos if you have Professional Development Recommendations * Canadian Securities Course (CSC) * Conduct and Practices Handbook Course (CPH) * Investment Dealer Supervisors Course (IDSC) * Derivatives Fundamentals & Options Licensing Course (DFOL) * Experience working in a CIRO Dealer    Compensation Information: * Base salary range: $70,000 - $85,000 * The final compensation package will be commensurate with the successful candidate's experience, skills, and geographic location (Canada). It includes a comprehensive benefits plan and a competitive incentive (bonus) program for Full-Time Permanent roles.     Sounds like you? Click below to apply! #LI-Hybrid