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Marathon Asset Management · 1 month ago

Compliance Professional

US-NY-New York

Full-time

Onsite

Senior Level, Lead/Staff

$125K/yr - $175K/yr

8+ years exp

Marathon Asset Management is a leading global asset manager specializing in public and private credit, seeking a compliance professional to support their global credit investment platform. This role involves managing and executing the compliance program, overseeing compliance for registered investment advisers, and collaborating with various teams on compliance matters.

Emerging MarketsFinanceReal Estate

Responsibilities

Partner with the compliance team to enhance, implement, and oversee Marathon’s comprehensive compliance program

Oversee aspects of compliance oversight for the firm’s three registered investment advisers

Assist with the preparations of regulatory filings (Form ADV, Form D, 13G/F, etc.)

Conduct periodic compliance reviews, testing, and ongoing surveillance activities; synthesize findings into actionable reports

Review and approve marketing materials, DDQs, investor communications, and other public-facing content

Oversee the monitoring of Code of Ethics processes, including personal trading, gifts and entertainment, outside business activities, and political contributions

Support insider trading compliance, including oversight of MNPI controls, restricted and watch lists, and employee training

Assist with the review and monitoring of electronic communications

Perform AML/KYC verifications and monitor counterparty relationships across multiple jurisdictions

Collaborate with legal, technology, portfolio management, operations, risk, accounting, and investor relations teams to advise on compliance matters

Stay current with regulatory developments from the SEC, CFTC/NFA, FCA, and AIFMD, and help update firm policies and procedures as needed

Assist the CCO in preparing documentation and responses for regulatory examinations

Assist with the annual review of the compliance program under Rule 206(4)-7

Assist in developing and administering employee compliance training and certifications

Qualification

Compliance experienceInvestment Advisers Act knowledgeRegulatory compliance systemsProject management skillsCommunication skillsCredit strategiesRegulatory examinationsMicrosoft Office SuiteInterpersonal skills

Required

Bachelor's degree required

8-12 years of compliance experience at a registered investment adviser, asset manager, or other investment industry firm

Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and applicable SEC, and CFTC/NFA regulations; experience with MiFID II or AIFMD is a plus

Demonstrated success assisting the implementation and monitoring compliance programs

Strong project management skills and the ability to work independently while appropriately escalating issues

Excellent communication and interpersonal skills, with the ability to advise and influence senior business leaders

Experience managing regulatory examinations or inquiries

Strong proficiency with compliance systems, regulatory portals, the Microsoft Office Suite, and other common business technology platforms