Compliance Analyst

Are you a recent graduate looking to launch your career in financial compliance and regulation?

Optima Partners is seeking a motivated individual to join our Miami office as a Compliance Analyst . This is a unique opportunity to be a part of a 2-year hands-on training program where you'll work alongside experienced consultants and gain exposure to a wide range of compliance topics across the investment management industry. All analysts get a mentor and comprehensive training.

This is a full-time, hybrid (3 days on-site per week) opportunity based in Miami, FL. The total compensation: $55,000 annually.

Responsibilities Include:

• Monitor expert network interactions and employee personal trading
• Review and archive employee communications (email/chat)
• Maintain employee disclosure forms and assist clients with organizing regulatory books and records
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation
• Contribute to annual compliance reviews and mock regulatory exams
• Help register clients as investment advisers or broker-dealers with U.S. regulatory authorities
• Prepare and file required quarterly and annual regulatory submissions (e.g., Form ADV, Form U4)
• Support clients during regulatory exams and inquiries

Requirements:

• Bachelor’s degree from an accredited college or university (Master’s or JD a plus)
• Authorized to work in the United States
• Excellent written and verbal communication skills
• Highly organized, self-motivated, and detail-oriented
• Strong analytical and research skills
• Ability to manage multiple projects in a fast-paced, collaborative environment

All analysts have a direct reporting line into Associate Director+ employees and the opportunity to be promoted to Senior Analyst after 1 year and Associate after 2 years.

Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.