Compliance Associate

Marathon Asset Management is a market and cycle-tested global alternative credit manager founded in 1998 by Bruce Richards (Chief Executive Officer) and Louis Hanover (Chief Investment Officer). The firm manages approximately $20 billion in assets under management across the corporate, real estate, structured credit and asset-based credit markets.  Marathon’s team is fully integrated to capitalize on credit opportunities globally in both the public and private credit markets, with its headquarters in New York and offices in London, Tokyo, Luxembourg, Miami and Los Angeles.

We are currently looking for a Compliance Analyst based in New York, whose responsibilities include the following:

• Be part of 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
  • assist the team with new rules, regulations and other legal and compliance requirements and update related policies and procedures.

• Assist with initial, annual, and ad hoc compliance trainings.
• Perform ongoing monitoring 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.)
• Assist with the day-to-day compliance tasks such as trade alerts and tests. Assist with DDQs and other marketing documents and investor deliverables
• Provide support to marketing, operational and accounting teams for new business initiatives
• Update the department’s compliance calendar to reflect upcoming regulatory and internal deadlines.

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

• 1-3 years of compliance experience at a registered investment adviser or investment consulting firm
• Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, SEC and CFTC/NFA regulations
• Practical judgment and ability to properly identify and escalate regulatory and compliance issues

The average salary for this role is  $90,000-$100,000 in base pay and exclusive of any bonuses or benefits.  The 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 benefits highlights includes (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