Senior Compliance Associate

Optima Partners; Greater London; Sur place; GBP 70 000 - 110 000; Plein temps

Résumé du poste

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

Responsabilités

• 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

Connaissances

Regulatory compliance

Client relations

SEC/CFTC/NFA rules

FINRA rules

Advisory feedback

Training & audits

Regulatory interpretation

Independent reviewer

Strong communication

Multi-tasking

Formation

Bachelor's degree

J.D. or Master’s degree a plus

Description du poste

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

Considered 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

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.

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.