Mr. Hartmann is a Bates Group expert who has over 25 years of experience supporting insurance and investment products and began his career with the U.S. Securities & Exchange Commission. The insurance products include life and annuities while investment products include both traditional and alternative strategies covering fundamental long-short equity, merger arb, convert arb, public fixed income, private credit, private equity and venture capital.
James has registered new advisers, completed mock regulatory exams, conducted due diligence on acquisitions, built out of compliance infrastructure, and interfaced with regulators such as the SEC, Federal Reserve Banks of Boston and New York, FINRA, the FCA, Department of Labor, among others. At least twice per year you can find Mr. Hartmann chairing industry panels with senior attorneys and other compliance professionals and regulators on provocative topics.
Mr. Hartmann was recently hired as an adjunct professor teaching a Corporate Compliance course at Fordham Law School starting in 2021.
Independent Regulatory Consultant, Feb 2020-Present
Arena Financial Services, LLC, Managing Director and Chief Compliance Officer, Oct 2016-Feb 2020
Arena Investors, LP, Managing Director and Chief Compliance Officer, Sept 2015-Sept 2019
Prudential Fixed Income, 2nd Vice President and Chief Compliance Officer, Nov 2010-Sept 2015
Wolters Kluwer Financial Services, Independent Regulatory Consultant, Oct 2009-Nov 2010
UBS Global Asset Management, Global Head of Compliance Risk Assessment, June 08-Aug 09
UBS Global Asset Management, Executive Director and Chief Compliance Officer (US), June 05-June 08
Ernst & Young LLP, Director, Risk Management and Regulatory Compliance, Dec 03-May 05
PricewaterhouseCoopers LLP, Director, Regulatory Compliance Consulting Group, Feb 02- Nov 03
Zero Gravity Venture Partners, COO and CCO, Aug 99-Jun 01
Capstone Investments, Director, Institutional Brokerage Services, May 98 - Jun 99
Summit Capital Partners, VP, Operations and Compliance, Jun 97 – Apr 98
Prudential Insurance Company, CCO, May 94 - June 97
U.S. Securities & Exchange Commission, Senior Compliance Examiner, Investment Companies Branch, Jan 90 - May 94
Indiana University School of Business, B.S. Corporate Finance
FINRA series 63, 65, 7 and 24 (Series 3 and 27 pending)
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