Compliance Senior Vice President

Overview

Marathon Asset Management is seeking a compliance professional to join our Institutional Infrastructure team and support the continued growth of our global credit investment platform. This individual will report directly to the Chief Compliance Officer (CCO) and play a key leadership role in managing, strengthening, and executing Marathon’s compliance program.

Marathon Asset Management is a leading global asset manager specializing in public and private credit with ~$23 billion in assets under management. Marathon is recognized as a distinguished leader with 27 years of exceptional performance and 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.

Responsibilities

• Partner with the compliance team to enhance, implement, and oversee Marathon’s comprehensive compliance program.
• Oversee aspects of compliance oversight for the firm’s three registered investment advisers.
• Assist with the preparations of regulatory filings (Form ADV, Form D, 13G/F, etc.).
• Conduct periodic compliance reviews, testing, and ongoing surveillance activities; synthesize findings into actionable reports.
• Review and approve marketing materials, DDQs, investor communications, and other public-facing content.
• Oversee the monitoring of Code of Ethics processes, including personal trading, gifts and entertainment, outside business activities, and political contributions.
• Support insider trading compliance, including oversight of MNPI controls, restricted and watch lists, and employee training.
• Assist with the review and monitoring of electronic communications.
• Assist with responding to and coordinating reverse KYC information requests from counterparties.
• Collaborate with legal, technology, portfolio management, operations, risk, accounting, and investor relations teams to advise on compliance matters.
• Stay current with regulatory developments from the SEC, CFTC/NFA, FCA, and AIFMD, and help update firm policies and procedures as needed.
• Assist the CCO in preparing documentation and responses for regulatory examinations
• Assist with the annual review of the compliance program under Rule 206(4)-7.
• Assist in developing and administering employee compliance training and certifications

Qualifications

Education:

• Bachelor’s degree required

Experience, Knowledge, Skills, and Abilities:

• 8-12 years of compliance experience at a registered investment adviser, asset manager, or other investment industry firm.
• Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and applicable SEC, and CFTC/NFA regulations; experience with MiFID II or AIFMD is a plus.
• Demonstrated success assisting the implementation and monitoring compliance programs.
• Familiarity with credit-oriented investment strategies is a plus.
• Strong project management skills and the ability to work independently while appropriately escalating issues.
• Excellent communication and interpersonal skills, with the ability to advise and influence senior business leaders.
• Experience managing regulatory examinations or inquiries.
• Strong proficiency with compliance systems, regulatory portals, the Microsoft Office Suite, and other common business technology platforms

The expected base salary range for this role is $175,000–$225,000, exclusive of bonus or benefits. Base pay will be determined based on experience, skills, and qualifications. Marathon offers a comprehensive benefits package, including Medical/Pharmacy, Dental, Vision, HSA/FSA, STD/LTD, Life Insurance, generous PTO, commuter benefits, and company-provided lunches.

Equal Opportunity Employer M/F/D/VNo agencies, please.