Compliance Analyst

Optima Partners; United States; Hybrid; USD 50,000 - 61,000; Full time

Benefits offered by this job

Hybrid work schedule

Mentorship program

Job summary

Optima Partners in Miami is seeking a motivated recent graduate to join our Compliance Analyst training program. You’ll work with experienced consultants across the investment management industry and receive mentorship and comprehensive training.

This full-time, hybrid role (3 days on-site per week) is based in Miami, FL, with a total compensation of $55,000 annually. Responsibilities include monitoring employee trading and communications, maintaining regulatory records, supporting regulatory

Qualifications

• Bachelor's degree in a relevant field required; advanced degrees a plus.
• Excellent written and verbal communication skills are essential.
• Highly organized, detail-oriented, and able to handle multiple projects.
• Strong analytical and research abilities suitable for regulatory work.

Responsibilities

• Monitor expert network interactions and employee personal trading.
• Review and archive employee communications (email/chat).
• Maintain employee disclosure forms and assist with regulatory books and records.
• Conduct periodic forensic testing on personal trading and related areas.
• Assist in drafting and updating compliance manuals and codes of ethics.
• Contribute to annual compliance reviews and mock regulatory exams.
• Help register clients as investment advisers or broker-dealers with US authorities.
• Prepare and file required quarterly/annual regulatory submissions (e.g., Form ADV, Form U4).
• Support clients during regulatory exams and inquiries.

Skills

Excellent written and verbal comms

Highly organized

Analytical and research skills

Ability to manage multiple projects

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 Miami 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 Miami, FL. The total compensation: $55,000 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.