Principal

About Optima Partners

Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge funds, broker-dealers, private equity, private credit, venture capital, and any other financial services firm required to ensure compliance with relevant laws, rules, and regulations around the globe. Our team of specialists spans the US, UK, APAC, and UAE, working as trusted partners embedded within our clients' teams.

The Role

We are seeking a Principal to join our growing US practice, based in San Francisco, Los Angeles, San Diego, Miami or New York. This is a senior client-facing and operational leadership role, supporting the West Coast Partner in delivering and scaling our business.

As Principal, you will serve as a trusted senior advisor to a portfolio of private markets clients, taking day-to-day ownership of client relationships, engagements, and delivery quality. You will also play an active role in business development, team leadership, and the commercial performance of the US practice. This role is offered on a hybrid basis with a minimum of 3 days per week in the office.

What You Will Do

Client Leadership & Advisory

• Serve as a trusted compliance adviser to a portfolio of alternative investment manager clients, taking senior day-to-day ownership of key client relationships, provide ongoing senior leadership support to Associate Directors and Directors reporting into West Coast Partner, and deliver quality work product
• Advise on the design, implementation, and enhancement of compliance programs, including policies, procedures, compliance manuals, and governance frameworks
• Lead mock regulatory examinations, regulatory gap analyses, and compliance reviews, including document requests, interviews, testing, and report drafting
• Provide guidance on key compliance topics including MNPI and expert networks, marketing and investor communications, personal trading, electronic communications surveillance, best execution, and annual reviews under SEC Rules 206(4)-7 and 38a-1
• Support clients with regulatory filings, including Form ADV and Form PF preparation and updates
• Interpret regulatory developments and provide strategic guidance on emerging compliance risks
• Represent Optima externally, building and sustaining strong, long-term client relationships across private credit, private equity, real estate, and related structures

Business Development

• Support and lead business development activities including proposals, pitches, scope discussions and client expansion conversations
• Identify opportunities to grow existing client relationships and introduce new service lines
• Contribute to Optima's West Coast market presence and industry profile

Commercial & Financial Management

• Margin management and resourcing considerations based on project requirements
• Actively monitor utilization, timesheets, and gross margins on a client-by-client basis
• Draft and manage proposals and statements of work, ensuring commercial targets are met

Team Leadership & Development

• Support and manage team members working on your client portfolio, providing on-the-job coaching and structured feedback
• Contribute actively to hiring decisions, performance reviews, and team development initiatives
• Proactively set the tone and standard for delivery quality outputs across the West Coast practice

Technical & Operational Excellence

• Own and contribute to Optima compliance templates, methodologies, and internal standards relevant to your areas of expertise
• Champion the use of technology and internal systems to drive efficiency and quality
• Contribute to internal training, regulatory updates, and thought leadership

What We Are Looking For

Essential

• Significant experience in regulatory compliance, either in-house at an asset manager or in a compliance consulting role — ideally both
• Deep expertise advising private markets clients (private credit, private equity, real estate) on US regulatory requirements
• Proven track record leading complex, multi-workstream client engagements
• Experience managing pricing, margins, and commercial scope discussions
• Demonstrated ability to support and lead business development — proposals, pitches, and client growth
• Strong team leadership and people management skills, with experience managing and developing junior professionals
• Excellent analytical and technical compliance skills
• Exceptional communication skills — clear, confident, and tailored to a senior audience
• Commercial mindset with the ability to identify and deliver practical, margin-conscious solutions
• Based in or willing to relocate to San Francisco, Los Angeles; San Diego. New York and Miami also considered
• Compensation expectations aligned to Optima's Principal-level remuneration range

Advantageous

• Proven track record of owning or materially contributing to revenue generation ($1M+ book of business)
• Regulatory background and experience with Investment Company Act compliance
• Existing West Coast client network within the alternative asset management space
• Experience with Salesforce or comparable CRM and timesheet management tools

Why Optima Partners

• Senior, high-impact role with genuine ownership of a growing US practice
• Access to a globally connected team of compliance specialists across the US, UK, Asia, and UAE
• Clear and transparent pathway to Partner, supported by a structured promotion framework
• A culture built on technical excellence, collaboration, and trust
• Competitive remuneration with performance-linked upside
• Hybrid working model — minimum 3 days per week in office

Salary Range: 200,000 - 280,000 OTE