Associate Director of Compliance

Job Description

Optima Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker-dealers.

Considered candidates for these compliance roles will:

Lead or Support an entire sales cycle; pitches, proposals, follow-ons and general contract terms

Lead or support a large portfolio of clients as the primary day-to-day oversight resource

Have deep familiarity for practical compliance and regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators where applicable

Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports

Have the ability to lead clients on developing all relevant policies and procedures relating to compliance manuals, code of ethics and other areas documented within the business

Demonstrate the ability to lead on with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.

Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion (without compromising quality or other client deliverables)

Be up to date on current regulatory developments and abreast of new developments on the horizon

Experience with Financial Conduct Authority (FCA) or other global regulators a plus

SENIOR ASSOCIATE OF COMPLIANCE OR ASSOCIATE DIRECTOR OF COMPLIANCE REQUIREMENTS:

Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus

6-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory

services firm or ex. regulator

Strong inter-personal skills, ability to independently (or as part of a team) work on-site at a client office

Excellent written and verbal communication skills

Independent, self–starter, entrepreneurial mind-set, as well as collaborative problem solver

Strong analytical and research skills

Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment

Ability to master new tasks quickly and effectively

Must have the ability to start with limited restrictions

Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.

About Optima Partners

Optima Partners is a leading global regulatory compliance advisory firm providing proactive and in-depth regulatory solutions built to meet a clients' individual needs. Optima Partners' unrivalled expertise in the global regulatory landscape, strong relationships with regulators, and a deep commitment to provide clear and practical advice gives clients the services they need to meet the demands of a complex and dynamic financial regulatory environment. The firm currently advises more than 800 clients across its global offices in New York, Chicago, San Francisco, London and Hong Kong. For more information on Optima Partners, go to the firm's website at

Full-time