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Job Description

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 Analyst based in New York, whose responsibilities include the following:

 

Responsibilities

  • 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.

Qualifications

  • 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

 

 

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

Skills for Compliance Analyst

Career Path for Compliance Analyst

The following is the career advancement route for Compliance Analyst positions, which can be used as a reference in future career path planning. As a Compliance Analyst, it can be promoted into senior positions as a Compliance Analyst Banking Sr that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Analyst. You can explore the career advancement for a Compliance Analyst below and select your interested title to get hiring information.

How to Become a Compliance Analyst

If you are interested in becoming a Compliance Analyst, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Analyst for your reference.

Step 1 Understand the job description and responsibilities of a Compliance Analyst

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Step 2 Knowing the best tips for becoming a Compliance Analyst can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.

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Step 3 View the best colleges and universities for Compliance Analyst

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