Senior Compliance Advisor for Asset Managers & Funds

Optima Partners; Greater London; On-site; GBP 70,000 - 110,000; Full time

Job summary

Optima Partners is seeking a Senior Compliance Associate to support compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients.

The role involves leading client reviews, shaping compliance programs, and communicating regulatory feedback with clarity. The ideal candidate has 3–6 years in asset management or regulatory roles and strong written and verbal skills.

Qualifications

• 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

Responsibilities

• Lead or joint lead roles for client compliance reviews, ad-hoc inquiries and relationship management
• Familiarity with rules and policies produced by asset managers, hedge funds, private equity and real-estate funds
• Support compliance program reviews, expert network processes, marketing materials and personal trading
• Concisely identify and communicate required compliance advisory feedback, explain regulatory basis for changes
• Assist with compliance protocols and training regarding all policies, procedures, examinations and audits
• Independently review, interpret and share feedback for new regulations coming online
• Find answers to regulatory questions and explain the process behind conclusions

Skills

Regulatory compliance

Client relations

SEC/CFTC/NFA rules

FINRA rules

Advisory feedback

Training & audits

Regulatory interpretation

Independent reviewer

Strong communication

Multi-tasking

Education

Bachelor's degree

J.D. or Master’s degree a plus

Job description

Optima Partners is seeking a Senior Compliance Associate to support compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients.

The role involves leading client reviews, shaping compliance programs, and communicating regulatory feedback with clarity. The ideal candidate has 3–6 years in asset management or regulatory roles and strong written and verbal skills.