Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge funds, broker-dealers, private equity, private credit, venture capital, and any other financial services firm required to ensure compliance with relevant laws, rules, and regulations around the globe. Our team of specialists spans the US, UK, APAC, and UAE, working as trusted partners embedded within our clients' teams.
Optima Partners is looking for a Compliance Associate to assist with compliance reviews and advisory assessments for asset managers, hedge funds, and private equity clients. This is a full-time opportunity with a 3 days/week on-site schedule. The total starting compensation is 40,000 - 65,000 GBP annually.
Considered candidates will:
- Lead or co-lead for client compliance reviews, ad-hoc inquiries, and relationship management.
- Support compliance program email reviews, expert network processes, marketing materials and personal trading.
- Identify and communicate required compliance advisory feedback; explain the regulatory basis for suggested changes to clients.
- Assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits.
- Independently review, interpret and share feedback / opinions for new regulations coming online.
- Find the answer to regulatory questions and explain the process and how certain conclusions were derived.
- Be familiar with various SEC/FCA, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds.
Requirements:
- Undergraduate degree required from an accredited college or university, J.D. Or Master’s degree is a plus.
- 2+ years+ of experience working in compliance inhouse or at a consulting firm.
- Excellent written and verbal communication skills
- Independent, self–starter, 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
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.