Compliance Associate

Optima Partners; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Optima Partners is seeking an Associate Compliance Consultant to support a diverse client portfolio on regulatory compliance matters across asset managers, hedge funds, PE, VC, RE, credit managers, banks and broker-dealers.

You will engage in on-site client work, draft reports, and respond to regulatory requests while staying current on developments such as Advisers Act, 206(4)-7 and 38a-1 reviews. Strong communication and analytical skills are essential.

Qualifications

• Undergrad degree required from an accredited college or university.
• J.D. or Advanced degree a plus.
• 2+ years of total compliance industry experience in Hedge Funds, Private Equity, Venture Capital, Credit, Real Estate, BDC, Asset/Investment Managers (in-house) or advisory/regulator roles.
• Strong interpersonal skills and ability to work on-site at a client office.
• Excellent written and verbal communication; strong analytical and research skills.

Responsibilities

• Support a large portfolio of clients as the primary day-to-day oversight resource.
• Familiarity with SEC Advisers Act and related compliance matters.
• Experience with CFTC/NFA, FINRA broker-dealer rules, and other regulators a plus.
• Assist with regulatory mock examinations, audits, requests, and reporting.
• Provide compliance training on MNPI use, marketing, personal trading, e-surveillance, best execution, and 206(4)-7 and 38a-1 reviews.

Skills

Interpersonal skills

Written & verbal communication

Analytical skills

Multi-tasking & prioritization

Ability to start with limitedrestric­t

Education

Undergraduate degree required

J.D. or advanced degree a plus

Job description

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.