Miami Compliance Analyst Trainee — 2-Year Mentorship & Training

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

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