Compliance Analyst

Optima Partners is looking for a recent graduate to join our New York City office as a Compliance Analyst, supporting our Senior Compliance Consultants in developing, implementing and maintaining compliance programs for a variety of registered investment management firms.

The Analyst program consists of a 2-year hands-on training program. All Analysts receive formal and practical training as well as an assigned mentor.

This is a full-time hybrid role based in New York City.

Key Responsibilities

• Monitoring expert network calls
• Monitoring employee personal trading and electronic communications
• Preparing and maintaining employee disclosure forms and assisting clients in organization and maintenance of required books and records
• Performing periodic forensic testing around personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interests, as part of client’s compliance monitoring program
• Developing and implementing compliance policies and procedures
• Assisting in annual compliance reviews and mock regulatory examinations
• Registering clients as investment advisers/broker dealers with the appropriate US regulatory bodies
• Preparing and submitting annual and quarterly regulatory filings
• Assisting in providing regulatory exam support
• Possible promotion to Associate after 2-years
• Reporting line to Director at Optima Partners

Requirements

• Undergraduate degree required from an accredited college or university; Masters degree is a plus
• Permitted to work in the US
• Must be able to start immediately
• 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
• Ability to master new tasks quickly

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.