Chief Compliance Officer

Marathon Asset Management, LP; New York (NY); On-site; USD 250,000 - 300,000; Full time

Job summary

An established industry player is on the lookout for a Chief Compliance Officer to lead its comprehensive compliance program. This pivotal role requires a seasoned professional with over a decade of experience in regulatory compliance and a strong understanding of the legal landscape. You will oversee compliance across multiple offices globally, ensuring adherence to industry standards while fostering effective communication. Join a dynamic team dedicated to delivering top-tier performance and service, and make a significant impact in a firm that values integrity and excellence in the financial services sector.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

HSA

FSA

Life Insurance

PTO

Commuter Benefits

Company-provided lunches

Qualifications

• 10+ years of compliance experience at a registered investment adviser.
• Strong knowledge of SEC and CFTC/NFA regulations.
• Experience managing compliance across multiple legal entities.

Responsibilities

• Oversee and enhance the compliance program ensuring regulatory alignment.
• Manage compliance and legal issues across three registered advisers.
• Lead annual compliance reviews and regulatory examinations.

Skills

Compliance Management

Risk Management

Financial Services

Securities Law

ISO 27000

Education

Bachelor's Degree

Master's Degree

Tools

Microsoft Excel

Microsoft Office Suite

Compliance Technology Platforms

Job description

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 best-in-class partnerships. Marathon's 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). Marathon's mission is to build lasting partnerships with an unwavering commitment to delivering best-in-class performance, service, and reliability on behalf of our clients.

Position Overview

The Chief Compliance Officer (CCO) will oversee and continually enhance Marathon Asset Management's comprehensive compliance program. This role requires deep expertise in regulatory compliance, strong leadership, and the ability to adapt to evolving legal and regulatory landscapes. The CCO will ensure the firm meets all regulatory requirements across three registered investment advisers, each with separate Form ADV filings.

Responsibilities

1. Oversee, maintain, and enhance a comprehensive compliance program ensuring alignment with industry best practices and current regulatory standards.
2. 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 non-US branches; ensure consistent implementation of the firm's compliance framework while adapting to local regulatory requirements; facilitate effective communication, information sharing, and reporting between global offices and the head office; and support local compliance functions to maintain alignment with group-wide policies and standards.
3. Lead the annual compliance review, including forensic testing, management reporting, and preparation for regulatory examinations.
4. 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.).
5. Collaborate with functional teams across the firm to implement, monitor, and update compliance policies and procedures for each adviser.
6. Oversee all aspects of insider trading compliance, including the identification, handling, and safeguarding of material nonpublic information (MNPI); maintain and monitor the firm's watch and restricted lists; implement and enforce policies 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.
7. Conduct ongoing monitoring and approval of personal trading, gifts and entertainment, outside activities, political contributions, and other Code of Ethics matters.
8. Oversee the compliance team in day-to-day compliance tasks, including trade alerts and management of restricted/watch lists.
9. Review and approve marketing materials, investor communications, and email correspondence for regulatory compliance.
10. Assist with the completion of DDQs and other investor deliverables.
11. Perform AML/KYC verifications for clients, counterparties, and other relevant parties.
12. Support investment, operational, and accounting teams on new business initiatives and product launches.
13. Monitor and interpret new rules, regulations, and guidance impacting the firm, and draft or update policies and procedures accordingly.
14. Maintain and update the Compliance Manual and related policies for all three advisers.
15. Manage the compliance calendar and ensure timely completion of all compliance obligations.
16. Demonstrate proficiency in regulatory portals (NFA, SEC, FCA, AIFMD) filings and maintain strong technical aptitude with Microsoft Excel, Microsoft Office Suite, and other typical business and compliance technology platforms.
17. Provide compliance oversight for a variety of fund and account structures, with a preference for experience in credit strategies.
18. Lead and coordinate responses to SEC and other regulatory examinations for all three advisers.

Qualifications

• Minimum 10 years of compliance experience at a registered investment adviser or investment consulting firm.
• 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 appropriately.
• 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 professional development.
• Ability to present to and advise senior management on complex compliance matters, translating regulatory requirements and risks into actionable insights.
• Proficiency with compliance technology platforms and regulatory filing systems.

The salary range for this role is $250,000–$300,000 in base pay (excluding bonus or benefits). The offered base pay will be determined based on experience, location, skills, training, certifications, and education, considering internal equity and market data. Candidates may not start at the top of the range but may occasionally do so on a case-by-case basis. Marathon benefits include 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

Key Skills

Compliance Management, Risk Management, Financial Services, PCI, Banking, Cost Accounting Standards, Quality Systems, Research Experience, NIST Standards, Securities Law, SOX, ISO 27000