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Chief Compliance Officer - Global Alternative Investments

Company: Arena Investors, LP
Location: Miami
Posted on: January 25, 2023

Job Description:

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
        • Wellness Resources

Keywords: Arena Investors, LP, Miami , Chief Compliance Officer - Global Alternative Investments, Other , Miami, Florida

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