Mariner Investment Group, LLC, a multi-strategy manager with approximately $9 billion in AUM, is looking to hire a Senior Compliance Associate to join its team. This individual will work directly with the Chief and Deputy Chief Compliance Officers and contribute to overseeing, systemizing and further enhancing the firm’s compliance framework and controls.
Key Responsibilities
- Administer the firm’s Code of Ethics (including sub-policies Personal Investment, Gifts & Entertainment, Campaign Contribution, Outside Business Activities);
- Conduct investment guideline and trade compliance monitoring;
- Assist with compliance monitoring and testing across the firm as assigned;
- Prepare formal written reports relating to compliance testing, exceptions and policy reviews;
- Primarily responsible for the on-boarding and initial compliance training of employee new hires (after appropriate compliance associate training);
- Draft, maintain, review and amend written compliance policies and procedures as assigned;
- Conduct periodic email monitoring and social medial reviews to ensure compliance with relevant Firm policies;
- Manage the Firm’s Watch and Restricted Lists and related procedures;
- Manage and maintain the Firm’s Broker Approval Review Process and list;
- Assist with Third Party Vendor Due Diligence review and approval process (e.g., initial and ongoing review), and maintenance of the approved vendor list;
- Maintain Team’s compliance calendar, responsibility matrix and risk matrix;
- Primarily responsible for scheduling and preparing for the Firm’s biannual Compliance, Valuation and Brokerage Committee meetings including but not limited to: preparing meeting agendas, minutes, memos and various reports; requesting necessary data and information from relevant Firm departments to prepare routine committee reports; compiling, organizing and distributing compliance materials in advance of each meeting; verbally reporting on certain assigned agenda topics associated with the associates responsibilities (e.g., Code of Ethics);
- Approve the use of Expert Consulting Networks and assist with the chaperoning of such meeting when procedurally required;
- Prepare file and in certain cases assist with various regulatory filings (e.g., Form ADV, Section 13 and Section 16 filings, Form PF, Form PQR, AIFMD);
- Review advertising, sales literature, and other marketing materials for compliance with SEC, NFA and FINRA rules as assigned (training can be provided in this area if substantive experience does not exist);
- Assist with all regulatory examinations and audits of Firm (e.g., SEC, CFTC/NFA);
- Other appropriate compliance responsibilities as designated by the firm’s CCO or Deputy CCO commensurate
with the associates experience and the firm’s needs; and
- Serve as the Firm’s “Records Officer”;
Qualifications
The ideal candidate will have a strong academic track-record including 5+ years of compliance experience within the investment management space (ideally hedge fund experience and marketing material review experience a real plus). Additionally, the candidate will be intelligent, task oriented, conscientious, curious, demonstrate excellent attention to detail and possess superior communication and interpersonal skills.
Compensation
- Terms of employment: Full-time, non-exempt;
- Location: NY (working primarily in the Firm’s 299 Park Avenue office location and from time to time in the Firms Harrison NY office);
- In-office 5 days per week (and with limited exceptions remotely)
- Benefits: Full medical, dental and vision coverage
- Salary: $125,000 to $135,000, commensurate with experience*
* Individual salaries for this role may vary based on various factors including but not limited to, candidate skills, experience, and geographic location. Eligibility to participate in a discretionary annual incentive program is subject torules governing the program, whereby an award, if any, depends on various factors including but not limited to, individual and organizational performance.
