What are the responsibilities and job description for the Senior Associate position at Optima Partners?
About Optima Partners
Optima Partners is seeking a Senior Associate Consultant to support clients on a range of regulatory compliance matters across various financial sectors, including asset management, hedge funds, private equity, venture capital, real estate, credit managers, banks, and broker-dealers.
Key Responsibilities
- Serve as a primary day-to-day compliance oversight resource for a diverse portfolio of clients.
- Provide expertise on SEC regulations, particularly the Investment Advisor Act of 1940.
- Support and conduct regulatory mock examinations and audits, including managing documentation requests, facilitating onsite reviews and interviews, and drafting reports.
- Assist in developing and maintaining compliance protocols and training programs related to expert networks, material nonpublic information (MNP), marketing, personal trading, electronic communications surveillance, best examination, and SEC Rule 206(4)-7 and 38a-1 reviews.
- Identify and assess regulatory risks, ensuring clients remain compliant with evolving expectations.
- Stay up to date on current and emerging regulatory developments
- Manage and prepare regulatory filings, including ADVs and Form PFs.
Qualifications & Requirements
- Bachelor's degree from an accredited college or university required; J.D. or advanced degree in a plus
- Minimum 2 years of compliance experience within one or more of the following: Hedge Funds, Private Equity, Venture Capital, Credit Real Estate, BDCs, Asset/Investment Management firms (in-house or client-facing experience preferred).
- Strong written and verbal communication skills with the ability to convey complex regulatory topic clearly
- Exceptional analytical and research skills with a detail-oriented approach.
- Ability to multi-task and prioritize effectively in a dynamic, team-oriented environment.
- Self-starter with the ability to work with minimal supervision and take initiative.
Additional Details
- This is a hybrid role based in New York.
- Candidates must have the ability to start with limited restrictions.
At Optima Partners, we are committed to fostering a diverse and inclusive workplace. We provide equal employment opportunities to all candidates, regardless of gender, gender identity, race, religion, nationality, ethnicity, sexual orientation, martial status, veteran status, age or disability.
