Compliance Specialist

Overview

Marathon Asset Management is a global credit manager with approximately $23 billion in assets under management. Our platform is well-established with a 20 year track record of strong returns through investments in the global credit and real estate related markets.  We are currently looking for a Compliance Specialist based in New York, whose responsibilities include the following:

Responsibilities

• Help manage a comprehensive compliance program that is continually updated with the best practices
• Assist with:
  • annual compliance review, including forensic testing and management reporting on results.
  • regulatory examinations and all compliance and legal related issues
  • keeping the firm current with new rules, regulations and other legal and compliance requirements and managing update of all related policies and procedures.
  • managing Compliance Manual updates and related policies and procedures.

• Schedule and assist with initial, annual, and ad hoc compliance trainings.
• Perform ongoing monitoring and approval of personal trading, gifts and entertainment activities, outside activities, political contributions and other Code of Ethics policies and procedures
• Assist with preparation, maintenance, and submission of all regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.)
• Experience with 40 Act subadvisor responsibilities and reporting
• Manage the day-to-day compliance tasks such as trade alerts and tests. Assist with DDQs and other marketing documents and investor deliverables
• Perform investor qualification and AML/KYC verifications for new investors and counterparties.
• Provide support to marketing, operational and accounting teams for new business initiatives
• Manage and update the department’s compliance calendar to reflect upcoming regulatory and internal deadlines.

Interact with and report compliance matters to the CCO & SVP; proficiency in regulatory portals for all NFA, SEC, FCA, AIFMD filings and overall technical aptitude in Microsoft Office and compliance portals.

Qualifications

• Minimum 3 years of compliance experience at a registered investment adviser or investment consulting firm
• Experience with design and implementation of RIA compliance policies and procedures
• Strong working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, SEC and CFTC/NFA regulations
• Experience with SEC and NFA exams and knowledge of SEC and NFA exam practices
• Practical judgment and ability to properly identify and escalate regulatory and compliance issues

No agencies, pleaseEqual Opportunity Employer M/F/D/V