Compliance Analyst

Optima Partners; San Francisco (CA); Hybrid; USD 64,000 - 78,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Optima Partners in San Francisco is seeking a Compliance Analyst for a 2-year hands-on training program, working with seasoned consultants and gaining exposure to investment management compliance topics. The role is full-time with a hybrid schedule (3 days on-site per week) in San Francisco, offering a total compensation of $71,000 annually and a mentorship program.

Requirements include a Bachelor’s degree (Master’s or JD a plus), eligibility to work in the U.S., and strong communication,

Qualifications

• Bachelor's degree from an accredited college or university (Master's or JD a plus).
• Authorized to work in the United States.
• Excellent written and verbal communication skills.
• Highly organized, self-motivated, and detail-oriented.
• Strong analytical and research skills.
• Ability to manage multiple projects in a fast-paced, collaborative environment.

Responsibilities

• Monitor expert network interactions and employee personal trading
• Review and archive employee communications (email/chat)
• Maintain employee disclosure forms and assist clients with organizing regulatory books and records
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation
• Contribute to annual compliance reviews and mock regulatory exams
• Help register clients as investment advisers or broker‑dealers with U.S. regulatory authorities
• Prepare and file required quarterly and annual regulatory submissions (e.g., Form ADV, Form U4)
• Support clients during regulatory exams and inquiries

Skills

Communication skills

Organizational skills

Analytical skills

Research skills

Multitasking

Education

Bachelor's degree

Master's or JD a plus

Job description

Are you a recent graduate looking to launch your career in financial compliance and regulation?

Optima Partners is seeking a motivated individual to join our San Francisco office as a Compliance Analyst. This is a unique opportunity to be a part of a 2-year hands‑on training program where you’ll work alongside experienced consultants and gain exposure to a wide range of compliance topics across the investment management industry. All analysts get a mentor and comprehensive training.

This is a full‑time, hybrid (3 days on‑site per week) opportunity based in San Francisco. The total compensation: $71,000 annually.

Responsibilities Include:

• Monitor expert network interactions and employee personal trading
• Review and archive employee communications (email/chat)
• Maintain employee disclosure forms and assist clients with organizing regulatory books and records
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation
• Contribute to annual compliance reviews and mock regulatory exams
• Help register clients as investment advisers or broker‑dealers with U.S. regulatory authorities
• Prepare and file required quarterly and annual regulatory submissions (e.g., Form ADV, Form U4)
• Support clients during regulatory exams and inquiries

Requirements:

• Bachelor’s degree from an accredited college or university (Master’s or JD a plus)
• Authorized to work in the United States
• Excellent written and verbal communication skills
• Highly organized, self‑motivated, and detail‑oriented
• Strong analytical and research skills
• Ability to manage multiple projects in a fast‑paced, collaborative environment

All analysts have a direct reporting line into Associate Director+ employees and the opportunity to be promoted to Senior Analyst after 1 year and Associate after 2 years.

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.