Compliance Manager

Arena Investors LP Jacksonville , FL

Posted 2 weeks ago

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).

Quaestor Advisors, LLC ("Quaestor") is an affiliated Special Servicer, which provides mid and back office services, including asset management, to Arena Investors and external clients.

Quaestor is looking to expand the Compliance team, through the addition of a Compliance Manager. In this role, the individual will focus on a variety of portfolio surveillance and position management responsibilities. This role will work with the staff at all levels and have regular interface with outside counsel.

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, UK Financial Conduct Authority and Monetary Authority of Singapore
  • Triage various requests from investment and marketing teams
  • Assist with conducting regulatory training
  • Conduct various sanctions and regulatory screening programs
  • Administrate the firms Code of Ethics policy

Requirements

  • 7+ years of regulatory compliance experience at an SEC-registered investment adviser. Global regulatory experience appreciated but not required
  • Familiarity with private credit, private equity, public credit/equity strategies
  • Experience with focusing on investment mandate compliance including, but not limited to, principle transactions, cross trades, trade allocations
  • Experience with applying marketing rules for private placements under the 33 and 40 Acts, as well as FINRA rules
  • Experience with annual compliance reviews
  • Familiarly with regulatory filings with the SEC, OSC, FCA, Cayman Tax Authority, and others
  • Ability to work on various ad hoc projects
  • Comfortable working independently and balancing multiple priorities
  • Strong analytical skills
  • Excellent communication skills 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
  • Work From Home
  • Free Food & Snacks
  • Wellness Resources
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Compliance Manager

Arena Investors LP