Compliance Officer

7 days ago

Purchase, New York, United States Arena Investors I Quaestor Advisors Full time
Arena Investors, LP ("Arena") is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more than 180 people across eight global offices and operating in 20 countries, we often provide capital where others won't.

Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance team and have regular interface with staff throughout the organization. Reporting to the CCO, this position will be a broad generalist compliance role with full exposure across the business.

We are open to this role to be based in Purchase NY, Jacksonville FL or Miami FL.

Responsibilities:

• Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;

• Support the CCO with FINRA broker-dealer requirements;

• Monitoring of Client guidelines and restrictions;

• Review of marketing materials;

• Review of compliance policies and procedures;

• Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring);

• Conflicts of interest review;

• Code of Ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the StarCompliance platform;

• Maintenance of restricted trading list and watchlist;

• AML/KYC risk-assessment and due-diligence;

• Service provider due-diligence;

• Portfolio management review and monitoring (e.g. trade blotter, trade errors, best execution, allocation, principal/cross trades, etc.);

• Regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, significant shareholder, etc.)

• Keeping abreast regulatory developments; and

• Ad-hoc projects.

Requirements

The individual will have demonstrated an ability to work in a fast-paced, performance-driven environment with an ability to think broadly about the business, incorporating continual improvement of processes and procedures with a goal of excellence while focusing on accuracy and efficiency.

• years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure);

• Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed);

• Solid understanding of registered investment adviser and broker-dealer rules and regulations;

• Familiarity with UK FCA and Singapore MAS rules and regulations;

• Experienced reviewing marketing materials in line with SEC and FINRA rules;

• Experienced conducting annual compliance reviews;

• Experienced managing insurance clients;

• Experienced administering regulatory filings with the SEC, FINRA, FCA, MAS and others;

• Experienced handling MNPI processes (e.g. expert networks, Board seats, committee participation, NDA, etc.);

• Ability to work independently, and balance multiple priorities;

• Excellent organizational, oral and written communication skills;

• Flexible and capable of prioritizing based on changing internal or external demands; and

• Bachelor's degree required.

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
  • Hybrid Schedule
  • Free Food & Snacks
  • Wellness Resources

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