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Compliance Associate
Arena Investors, LP
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New York, NY, USA
Posted on Thursday, November 2, 2023
Arena Investors, LP 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 is looking to expand the team through the addition of an experienced compliance officer. In this role, this individual will work with the staff at all levels and have regular interface with outside counsel. Reporting to the CCO, this position will be a broad generalist compliance role with full exposure across the business.
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;
- Code of Ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the Star Compliance platform;
- Maintenance of restricted trading list and watchlist;
- AML/KYC risk-assessment and due-diligence;
- Vendor due-diligence;
- Review of marketing materials;
- Portfolio management review and monitoring (e.g. trade blotter, trade errors, best execution, allocation, principal/cross trades, etc.);
- Email monitoring;
- Regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, etc.)
- Testing and monitoring of compliance program;
- Keeping abreast regulatory developments; and
- Ad-hoc projects.
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.
- 4 – 8 years of regulatory compliance experience at a SEC-registered investment adviser;
- Solid understanding of registered investment adviser rules and regulations;
- Experience with broker-dealer compliance;
- Familiarity with UK FCA and Singapore MAS rules and regulations;
- Familiarity with private credit, private equity and public credit strategies;
- Strong code of ethics administration experience;
- Experience reviewing marketing materials in line with SEC and FINRA rules;
- Experience with annual compliance reviews;
- Familiarly with regulatory filings with the SEC, FINRA, FCA, MAS and others;
- Experience handling MNPI process (e.g. expert networks, Board seats, committee participation, NDA, etc.)
- Comfortable working independently, and balancing multiple priorities;
- Excellent organizational, oral and written communication skills;
- Flexible and capable of prioritizing based on changing internal or external demands.
- Bachelor's degree required.
- 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
- Free Food & Snacks
- Wellness Resources
This job is no longer accepting applications
See open jobs at Arena Investors, LP.See open jobs similar to "Compliance Associate" Arena Investors.