180411.Arena_.JHartmann.597.Squarex

JAMES HARTMANN

Managing Director, Chief Compliance Officer
New York

Mr. Hartmann has over twenty years of regulatory compliance experience. Most recently, Mr. Hartmann was the Chief Compliance Officer for Prudential Fixed Income from 2010 to 2015. From 2009 to 2010, Mr. Hartmann was a regulatory compliance consultant to insurance company and hedge fund clients of Wolters Kluwer Financial Services. From 2005 to 2009, Mr. Hartmann was the CCO for UBS Alternative and Quantitative Investments. From 2001 to 2005, Mr. Hartmann was a regulatory compliance consultant for clients of PricewaterhouseCoopers as well as Ernst & Young. From 1998 to 2001, Mr. Hartmann was the COO and CCO for an early stage venture capital firm, Zero Gravity Venture Partners. Earlier in his career, Mr. Hartmann held senior compliance positions at the hedge fund Summit Capital Partners and in Prudential Insurance Company’s corporate compliance department. Mr. Hartmann began his career at the U.S. Securities & Exchange Commission as an investment company examiner from 1990 to 1994. Mr. Hartmann holds a B.S. in Finance from Indiana University.

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