Chief Compliance Officer - Global Alternative Investments
- Vision , Medical , Dental , Paid Time Off , Life Insurance , Retirement
Arena Investors, LP ("Arena") is a global investment management firm that seeks to generate attractive risk adjusted, consistent and uncorrelated returns by employing a fundamentals based, asset-oriented financing and investing strategy across the entire credit spectrum in areas where conventional sources of capital are scarce. Arena specializes in off-the-run, stressed, distressed, illiquid and esoteric special situation transactions through originations and acquisitions of asset-oriented investments across a wide array of asset types (including but not limited to private direct corporate credit, commercial real estate bridge lending, and commercial and consumer assets).
Arena is looking for a Global Chief Compliance Officer, preferably for our Jacksonville, Florida office, but open to a remote location for the right candidate.
Support front, middle and back office personnel on a wide variety of regulatory and contractual compliance issues primarily in compliance with the Investment Advisers Act of 1940
15+ years of regulatory compliance experience at an SEC-registered investment adviser
Experience with: private credit as well as public credit strategies (structured PIPES
short-selling rules, 13d type filings, a plus
applying marketing rules for private placements under the ’33 and 40 Acts, as well as FINRA rules
performance presentation standards (GIPS and non-GIPS composite construction), other SEC guidance on performance presentation and disclosures
regulatory filings with the SEC, OSC, FCA, Cayman Tax Authority, and others
AML/KYC checks, including oversight of third-party administrators
investment guideline systems such as Bloomberg AIM and client mandate monitoring, in general
trading desk compliance including review of investment allocations
surveillance including email and review of electronic communications using applications such as Bloomberg Vault, Global Relay or other
annual compliance reviews and/or supervising third-parties conducting same
control implementation for potential MNPI whether from sources such as expert networks, Board seats, committee participation, and investee borrowers under an NDA
Health Care Plan (Medical, Dental & Vision)
Retirement Plan (401k, IRA)
Life Insurance (Basic, Voluntary & AD&D)
Paid Time Off (Vacation, Sick & Public Holidays)
Family Leave (Maternity, Paternity)
Short Term & Long Term Disability
Training & Development
Arena Investors I Quaestor AdvisorsMiami, FL
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