Optima Partners
Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for asset managers, hedge funds, private equity, venture capital, real‑estate, credit managers, banks and broker‑dealers.
Considered Candidates Will:
Support a large portfolio of clients as the primary day‑to‑day oversight resource.
Have familiarity with practical compliance and regulatory matters relating to the SEC (e.g., Advisers Act).
Have experience with CFTC/NFA and FINRA rules, and other regulatory bodies, also a plus.
Have familiarity with various regulatory mock examination audits, including documentation requests, on‑site reviews/interviews, and drafting reports.
Demonstrate the ability to support compliance protocols and training regarding the use of expert networks/MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a‑1 reviews, etc.
Anticipate client regulatory risks and expectations, focusing resources on tasks that need completion.
Be up‑to‑date on current regulatory developments and remain abreast of new developments.
Have experience with ADVs/Form PFS and other regulatory filings.
Requirements:
Undergraduate degree required; a JD or advanced degree is a plus.
Minimum 2+ years of total compliance industry experience at hedge fund/ private equity/venture capital/credit/real‑estate/BDC/asset/investment managers (in‑house), advisory services firm or former regulator.
Strong interpersonal skills, ability to work independently or as part of a team on‑site at a client office.
Excellent written and verbal communication skills.
Strong analytical and research skills.
Ability to multi‑task and prioritize across multiple projects with shifting priorities in a team environment.
Ability to master new tasks quickly and effectively.
Ability to start with limited restrictions.
The role is a hybrid role. Candidates can be located in New York.
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.
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Considered Candidates Will:
Support a large portfolio of clients as the primary day‑to‑day oversight resource.
Have familiarity with practical compliance and regulatory matters relating to the SEC (e.g., Advisers Act).
Have experience with CFTC/NFA and FINRA rules, and other regulatory bodies, also a plus.
Have familiarity with various regulatory mock examination audits, including documentation requests, on‑site reviews/interviews, and drafting reports.
Demonstrate the ability to support compliance protocols and training regarding the use of expert networks/MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a‑1 reviews, etc.
Anticipate client regulatory risks and expectations, focusing resources on tasks that need completion.
Be up‑to‑date on current regulatory developments and remain abreast of new developments.
Have experience with ADVs/Form PFS and other regulatory filings.
Requirements:
Undergraduate degree required; a JD or advanced degree is a plus.
Minimum 2+ years of total compliance industry experience at hedge fund/ private equity/venture capital/credit/real‑estate/BDC/asset/investment managers (in‑house), advisory services firm or former regulator.
Strong interpersonal skills, ability to work independently or as part of a team on‑site at a client office.
Excellent written and verbal communication skills.
Strong analytical and research skills.
Ability to multi‑task and prioritize across multiple projects with shifting priorities in a team environment.
Ability to master new tasks quickly and effectively.
Ability to start with limited restrictions.
The role is a hybrid role. Candidates can be located in New York.
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.
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