Director - Regulatory Compliance Consulting

About Us

Optima Partners is a global compliance and regulatory consulting firm trusted by leading financial institutions worldwide. With offices in New York, Miami, Chicago, Los Angeles, San Francisco, London, Hong Kong, Singapore, Abu Dhabi, and Dubai, we advise hedge funds, private equity firms, broker-dealers, and other investment managers on complex regulatory and compliance matters.

We are seeking a Director to join our New York office and play a leadership role in our U.S. regulatory consulting practice. This is a senior client-facing position responsible for advising alternative investment managers on regulatory obligations, compliance program development, and regulatory risk management.

The Director will work directly with senior leadership teams at leading investment managers and will contribute to both client delivery and practice growth. The role is well suited to an experienced compliance professional with deep expertise in private funds regulation who thrives in a fast-paced consulting environment.

Location: New York, NY (full-time, hybrid)

Annual Salary: $180,000+ based on experience

Key Responsibilities

1) Client Advisory & Regulatory Consulting

• Serve as a trusted compliance adviser to a portfolio of alternative investment manager clients.
• Provide regulatory guidance under the Investment Advisers Act of 1940 and other U.S. regulatory frameworks applicable to private fund managers.
• 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 preparation and updates.
• Interpret regulatory developments and provide strategic guidance on emerging compliance risks.

2) Engagement Leadership

• Lead and manage multiple client engagements simultaneously while maintaining high quality deliverables.
• Act as the primary oversight resource for client relationships and ensure effective project execution.
• Lead client meetings and present findings and recommendations to senior stakeholders.
• Represent the firm independently in delivering compliance reviews, mock examinations, and advisory engagements.

3) Business Development & Practice Growth

• Support business development activities including proposals, client pitches, and follow-on engagements.
• Identify opportunities to expand client relationships and introduce additional services.
• Collaborate closely with firm leadership on strategic initiatives and market development.

Critical Acumen

Successful candidates will demonstrate proven, testable expertise within the private funds industry, including hedge funds (plain vanilla through multi-manager complexes), private equity, real estate, credit, debt, and insurance-related investment strategies.

Candidates should possess:

• 10+ years of hands-on experience in a senior compliance, regulatory, or operational role within the alternative investment industry.
• Experience working in a mid-office or back-office function, such as: trade compliance, senior compliance officer roles, and regulatory examiner roles with a focus on private funds
• Demonstrated experience working with full expense pass-through fund structures.
• Proven ability to analyze and synthesize complex governing documents, including: form ADV filings, limited Partnership Agreements (LPAs), and other fund governing and disclosure documents
• Strong analytical and issue-spotting capabilities, including the ability to identify regulatory risks, conflicts of interest, and operational weaknesses and develop practical solutions.
• Excellent written communication skills with the ability to produce high-quality advisory reports and regulatory analyses (writing sample required).
• Demonstrated ability to lead meetings with stakeholders across multiple levels, including senior executives and legal/compliance teams.
• The ability to independently lead engagements, including mock examinations, regulatory gap analyses, and compliance program reviews with minimal supervision.
• Strong commercial awareness and the ability to interact effectively with industry participants, service providers, and other stakeholders.

Requirements

• Bachelor’s degree from an accredited college or university required; J.D. or other advanced degree preferred.
• Extensive knowledge of SEC regulation under the Investment Advisers Act.
• Experience within or advising: hedge funds, private equity firms, venture capital firms, credit or real estate funds, asset or investment managers, regulatory advisory firms, and/or regulatory agencies
• Familiarity with global regulatory frameworks such as the FCA is advantageous.
• Strong analytical, research, and problem-solving skills.
• Ability to manage competing priorities and operate effectively in a fast-paced consulting environment.

Optima Partners is committed to providing equal opportunities in employment. We do not discriminate on the basis of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.