Regulatory Compliance Associate - Funds & Asset Managers

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 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.