What are the responsibilities and job description for the Senior Associate position at Optima Partners?
Compliance Consultant – Broker-Dealer Focus (FINRA/NFA/CFTC)
Location: Hybrid (New York City or Miami) | Level: Associate or Senior Associate
About Optima Partners
Optima Partners is a global regulatory compliance advisory firm serving a broad spectrum of financial institutions. We are seeking a Compliance Consultant to join our team, focused on supporting broker-dealer clients with U.S. regulatory compliance matters, particularly those governed by FINRA, NFA, and the CFTC.
Key Responsibilities
- Advise broker-dealer clients on compliance with applicable regulations, including FINRA, NFA, and CFTC rules.
- Draft and implement compliance policies and procedures tailored to each firm’s business model and risk profile.
- Assist with new broker-dealer registrations and regulatory filings.
- Conduct annual reviews, forensic testing, and surveillance programs under FINRA Rules and similar frameworks.
- Identify control gaps or risk exposures and recommend remediation or enhancements.
- Maintain up-to-date compliance documentation and coordinate regulatory inquiries and examinations.
- Provide tailored training sessions and compliance guidance to clients’ staff and senior management.
- Monitor regulatory developments and assess their impact on clients’ compliance programs.
Qualifications & Requirements
- Bachelor's degree required; J.D. or relevant advanced degree is a plus.
- Minimum 2 years of direct experience in broker-dealer compliance (in-house or consulting); experience with FINRA, NFA, or CFTC regulatory frameworks is essential.
- Familiarity with relevant rules including FINRA Rules 3, as well as CFTC/NFA regulations applicable to introducing brokers or swap dealers.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory issues clearly.
- Strong analytical and organizational skills, with high attention to detail.
- Proactive and adaptable; able to manage multiple client engagements simultaneously in a fast-paced environment.
Additional Details
This is a hybrid role with an expectation of 3 days per week in-office at our New York City office.
At Optima Partners, we are committed to fostering a diverse and inclusive workplace. We are proud to be an equal opportunity employer and welcome applicants from all backgrounds.
