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.

Responsibilities

• 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
  
  Requirements
  • 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
      Benefits
      
      • 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