Compliance Associate

Optima Partners is seeking a talented Compliance Associate to provide senior oversight of regulatory compliance matters for a diverse portfolio of clients, including asset managers, hedge funds, private equity firms, venture capital, business development companies (BDCs), real estate, credit managers, banks, and broker-dealers.

Key Responsibilities :

• Support the sales cycle, including pitches, proposals, and contract negotiations.
• Serve as the primary day-to-day oversight resource for a large portfolio of clients.
• Demonstrate expertise in practical compliance and regulatory matters relating to the SEC, such as the Advisers Act.
• Familiarity with BDCs and the Investment Company Act of 1940 is highly desirable; experience with global regulators like the Financial Conduct Authority (FCA) is a plus.
• Knowledge of CFTC / NFA and FINRA rules, along with other regulatory bodies, is advantageous.
• Collaborate within a dynamic team environment while interacting regularly with Optima's Partners, Directors, and Senior Staff.
• Oversee various regulatory mock examination audits, including documentation requests and onsite reviews.
• Lead clients in developing comprehensive compliance manuals and policies, including codes of ethics.
• Provide guidance on compliance protocols, training, and advice regarding expert networks, marketing, and electronic communication surveillance.
• Anticipate client regulatory risks and manage priorities without compromising quality.
• Stay updated on current regulatory developments and maintain awareness of emerging issues.
• Assist with the preparation of ADVs and other regulatory filings.

Requirements :

This hybrid role allows candidates to work from various locations, including San Francisco, Los Angeles, San Diego, or New York. Optima Partners is committed to equal employment opportunities and does not discriminate based on gender, race, religion, nationality, sexual orientation, or disability.