What are the responsibilities and job description for the Compliance Associate position at Optima Partners?
Location options: New York City | Los Angeles | San Francisco | San Diego
Optima Partners is looking for an Associate Compliance Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.
Considered Candidates Will:
- Support a large portfolio of clients as the primary day-to-day oversight resource
- Have familiarity for practical compliance and regulatory matters relating to SEC (e.g., Advisers Act)
- CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus
- Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports
- Demonstrate the ability to support with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, etc.
- Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion
- Be up to date on current regulatory developments and will to remain abreast of new developments on the horizon
- Have experience with ADVs / Form PFS and other regulatory filings
Requirements:
- Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
- MUST HAVE 2 years of total compliance industry experience working at one or more: Hedge Fund / Private Equity / Venture Capital / Credit / Real-Estate / BDC / Asset / Investment Managers (in-house), advisory services firm or ex regulator
- Strong interpersonal skills, ability to independently (or as part of a team) work on-site at a client office
- Excellent written and verbal communication skills
- 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 and effectively
- Must have the ability to start with limited restrictions
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.