Chief Compliance Officer

Marathon Asset Management, L.P.; Town of Hempstead (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 their compliance program across a global credit investment platform. This pivotal role involves overseeing compliance across multiple registered advisers, ensuring adherence to regulatory standards, and enhancing the firm's compliance framework. The ideal candidate will possess deep expertise in regulatory compliance, strong leadership skills, and the ability to navigate the evolving legal landscape. Join a dynamic team dedicated to delivering exceptional performance and service while maintaining the highest compliance standards in the industry.

Benefits

Medical/Pharmacy

Dental Insurance

Vision Insurance

HSA

FSA

STD/LTD

Life Insurance

PTO

Commuter Benefits

Company Provided Lunches

Qualifications

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

Responsibilities

• Oversee and enhance compliance program across global offices.
• Manage compliance and legal issues for three registered advisers.
• Conduct ongoing monitoring of personal trading and insider trading.

Skills

Regulatory Compliance

Leadership

Communication Skills

Risk Assessment

Analytical Skills

Education

Bachelor’s Degree

Tools

Microsoft Excel

Microsoft Office Suite

Compliance Technology Platforms

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 best-in class partnership. 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.

The Chief Compliance Officer (CCO) is responsible for overseeing and continually enhancing Marathon Asset Management’s 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 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 head office; and support local compliance functions to maintain alignment with group-wide policies and standards.
• Lead the execution 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 firm’s 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 day-to-day 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 across multiple jurisdictions.
• 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: Bachelor’s 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 including cross border marketing rules.
  • Experience with 1940 Act sub-adviser 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.
  • Experience with GIPS standard
  • 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 decision-making.
  • Proficiency with compliance technology platforms and regulatory filing systems.

The salary range for this role is $250,000-$300,000 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.

Equal Opportunity Employer M/F/D/V.

No agencies, please.