Chief Compliance Officer
Chief Compliance Officer
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$ 250000 - 300000
1 Vacancy
Job Description
Overview
Marathon is seeking a highly skilled and experienced Chief Compliance Officer to join our dynamic institutional infrastructure team to support the growth of our global credit investment platform.
Marathon Asset Management is a leading global asset manager specializing in public and private credit with $23 billion in AUM. Marathon is recognized as a distinguished leader with 27 years of exceptional performance and bestin class partnership. Marathons integrated global credit platform is driven by our specialized highly experienced and disciplined teams across Private Credit (Direct Lending Asset Based Lending and Opportunistic Credit) and Public Credit (High Yield Leveraged Loans & CLOs Emerging Markets and Structured Credit). Marathons mission is to build lasting partnerships with an unwavering commitment to delivering bestinclass performance service and reliability on behalf of our clients.
Position Overview
The Chief Compliance Officer (CCO) is responsible for overseeing and continually enhancing Marathon Asset Managements comprehensive compliance program. The CCO will ensure the firm meets all regulatory requirements across three registered investment advisers each with separate Form ADV filings. This role requires deep expertise in regulatory compliance strong leadership and the ability to adapt to evolving legal and regulatory landscapes.
Responsibilities
- Oversee maintain and enhance a comprehensive compliance program ensuring alignment with industry best practices and current regulatory standards.
- Coordinate and oversee compliance activities across all Marathon Asset Management offices including the UK office (with a dedicated Compliance Officer) Luxembourg office and other US and nonUS branches; ensure consistent implementation of the firms compliance framework while adapting to local regulatory requirements; facilitate effective communication information sharing and reporting between global offices and head office; and support local compliance functions to maintain alignment with groupwide policies and standards.
- Lead the of the annual compliance review including forensic testing management reporting and preparation for regulatory examinations.
- Manage all compliance and legal issues across three registered advisers (Marathon Asset Management LP MW Advisor LLC and Bryant Park Funding CLO Management LLC) ensuring accurate and timely filing of three separate Form ADVs and related regulatory documents (Form PF Form D 13F etc..
- Collaborate with functional teams across the firm to implement monitor and update compliance policies and procedures for each adviser.
- Oversee all aspects of insider trading compliance including the identification handling and safeguarding of material nonpublic information (MNPI); maintain and monitor the firms watch and restricted lists; implement and enforce policies and procedures related to insider trading prevention; conduct employee training on MNPI and insider trading risks; supervise the use of expert networks to ensure compliance; and investigate and escalate any potential breaches or misuse of confidential information.
- Conduct ongoing monitoring and approval of personal trading gifts and entertainment outside activities political contributions and other Code of Ethics matters.
- Oversee compliance team in daytoday compliance tasks including trade alerts and management of restricted/watch lists.
- Review and approve marketing materials investor communications and email correspondence for regulatory compliance.
- Assist with completion of DDQs and other investor deliverables.
- Perform AML/KYC verifications for clients counterparties and other relevant parties.
- Support investment operational and accounting teams on new business initiatives and product launches.
- Monitor and interpret new rules regulations and guidance impacting the firm and draft or update policies and procedures accordingly.
- Maintain and update the Compliance Manual and related policies for all three advisers.
- Manage the compliance calendar and ensure timely completion of all compliance obligations.
- Demonstrate proficiency in regulatory portals for NFA SEC FCA and AIFMD filings and maintain strong technical aptitude with Microsoft Excel Microsoft Office Suite and other typical business and compliance technology platforms
- Provide compliance oversight for a variety of fund and account structures with a preference for experience in credit strategies.
- Lead and coordinate responses to SEC and other regulatory examinations for all three advisers.
Qualifications
- Education:
- Bachelors degree required.
- Experience Knowledge Skills and Abilities:
- Minimum 10 years of compliance experience at a registered investment adviser or investment consulting firm.
- Demonstrated experience designing and implementing RIA compliance policies and procedures including for multiple registered advisers.
- Strong working knowledge of the Investment Advisers Act of 1940 Investment Company Act of 1940 SEC and CFTC/NFA regulations MiFID and AIFMD.
- Experience with 1940 Act subadviser responsibilities and reporting.
- Direct experience managing SEC and NFA examinations and familiarity with current exam practices.
- Practical judgment and the ability to identify assess and escalate regulatory and compliance issues as appropriate.
- Experience managing compliance across multiple legal entities and filings including multiple Form ADVs.
- Excellent communication organizational and leadership skills.
- Proven experience leading and managing a compliance team including setting strategic priorities overseeing daily operations and supporting the professional development of team members.
- Demonstrated ability to present to and advise senior management on complex compliance matters translating regulatory requirements and risks into actionable insights to inform strategic decisionmaking.
- Proficiency with compliance technology platforms and regulatory filing systems.
The salary range for this role is $250000$300000 in base pay (exclusive of bonus or benefits above and beyond the base pay). Base pay offered will be determined based on your experience location skills training certifications and education and in addition we will also consider internal equity and market data. We do not anticipate that candidates hired will begin at the top of the range however from time to time it may occur on a case by case basis. Marathon benefit highlights include (but are not limited to) Medical/Pharmacy Dental Vision HSA FSA STD/LTD Life Insurance PTO Commuter Benefits and company provided lunches.
No agencies please
Equal Opportunity Employer M/F/D/V
Required Experience:
Chief
Employment Type
Full-Time
