Compliance Associate

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

Job summary

Optima Partners seeks an Associate Compliance Consultant to support clients on regulatory matters across asset managers, hedge funds, private equity, venture capital, and more.

The role emphasizes on-site collaboration with client offices, strong communication, and up-to-date regulatory knowledge to anticipate risks and guide compliance programs.

Qualifications

• 2+ years in compliance in Hedge Fund / Private Equity / Venture Capital / Credit / Real-Estate / Asset Managers or similar firms.
• Experience with SEC Advisers Act, CFTC/NFA, FINRA rules, and other regulators is a plus.
• Familiarity with regulatory filings (ADVs, Form PFs) and mock examinations is expected.

Responsibilities

• Provide day-to-day oversight for a large portfolio of clients.
• Interpret and apply regulatory requirements for client matters.
• Draft reports and respond to documentation requests during audits.
• Support compliance protocols and training on MNPI, marketing, and surveillance.

Skills

Regulatory compliance

SEC Advisers Act

Regulatory research

Client liaison

Education

Undergraduate degree

J.D. or advanced degree a plus

Job description

Location options: New York City | Los Angeles | San Francisco | San Diego

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.