Compliance Associate / Senior Compliance Associate

Job Description

Job Description

Optima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's New York Office to assist with compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients.

Considered Compliance Associate candidates will have:

• Lead or joint lead roles for client compliance reviews, ad-hoc inquiries and relationship management
• Familiarity with various SEC, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds 
• Expertise in supporting compliance program email reviews, expert network processes, marketing materials and personal trading
• Ability to succinctly identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients
• Ability to assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits
• Ability to independently review, interpret and share feedback / opinions for new regulations coming online
• Finds the answer to regulatory questions and explains the process and how certain conclusions were derived
• Experience with Financial Conduct Authority (FCA) a plus

COMPLIANCE ASSOCIATE REQUIREMENTS: 

• Undergrad degree required from an accredited college or university, J.D. or Master’s degree a plus.
• 3 - 6yrs of total industry experience working at an asset manager, consultant or ex. regulator
• Must have in-house compliance experience and responsibility for conducting compliance program reviews 
• Must be willing to immediately start 
• Excellent written and verbal communication skills 
• Independent, self–starter, as well as collaborative problem solver 
• Strong analytical and research skills 
• Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment
• Ability to master new tasks quickly 

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.

Location: New York City

About Optima Partners

Optima established itself as a market leader by setting up a unique team to address regulatory matters facing our clients in the market today. Consequently, Optima is able to provide comprehensive and cutting-edge regulatory compliance support both domestically and globally to leading hedge funds, private equity, asset managers, banks and broker-dealers.

Optima Partners is a unique global firm which understands that its people are its greatest asset. We are therefore 100% committed to attracting and keeping the highest quality people. As a market leading and growing firm with a very flat structure, we offer our people the chance to move forward quickly in their career within a meritocratic culture.

The core values that our team share are being proactive, solutions focused, interactive and dynamic in the ever evolving industry that we work in. We seek to encourage new ideas and proactive thinking across all members of the team and constantly invest in new people that share our values.

Optima Partners presents its people with a unique opportunity to work collectively and collaboratively within our global team as well as a platform to reap the rewards of strong performance. Optima’s experienced global team will accelerate the Analyst’s learning and growth by providing frequent trainings on various topics, shaping the Analyst’s career path to becoming an expert compliance professional in the financial services industry.