James A. Hartmann
James A. Hartmann has over 30 years of experience in compliance, including implementation and ongoing support of compliance programs as well as general operational experience within the financial services industry.
Mr. Hartmann served as CCO for Arena Investors L.P. and Arena Financial Services LLC in New York, respectively an SEC-registered investment adviser with a focus on Direct Lending and credit-arb strategies. Other previous roles include CCO for Prudential Fixed Income (a $500bn liquid credit adviser), CCO for UBS Alternative and Quantitative Investments and as an investment company examiner in the SEC’s Office of Compliance Inspections and Examinations (“OCIE”). Mr. Hartmann graduated from Indiana University with a degree in Corporate Finance and holds Series 63, 65, 7 and 24 licenses.