Associate Director - Compliance - Optima Partners : Job Details

Optima Partners is seeking an experienced and driven Associate Director to join our NYC team. We're looking for someone to provide strategic oversight and expert guidance on regulatory compliance matters for a diverse portfolio of clients, which may include Asset Managers, Hedge Funds, Private Equity firms, Venture Capitalists, BDCs, Real Estate entities, and Broker-Dealers.

This is a full-time hybrid position, with three days per week required on-site at our NYC office. The salary is $145,000+, depending on experience.

Requirements:

• Support sales cycles, including client pitches, drafting proposals, managing follow-ups, and negotiating general contract terms.
• Lead or support a diverse portfolio of clients as the primary day-to-day oversight resource.
• Demonstrate strong working knowledge of practical compliance and regulatory matters relating to SEC (e.g.. Advisers Act).
• Experience with the Investment Company Act of 1940; experience with the Financial Conduct Authority (FCA), CFTC/NFAFINRA or other global regulators is a plus.
• Work collaboratively with senior leadership team; frequent interaction and collaboration with Directors and Senior Staff.
• Have hands-on experience managing regulatory mock examination audits, including document requests, on-site interviews, and drafting reports.
• Be able to lead clients in the development of relevant policies and procedures relating to compliance manuals, code of ethics, and other required documentation within the business.
• Provide guidance on compliance protocols and training regarding use of expert networks, MNPI controls, marketing, personal trading, electronic communications surveillance, best execution, periodic SEC Rule 206(4)-7 and 38a-1 reviews.
• Anticipate client regulatory risks and deliver high-quality solutions within project timelines and competing client demands.
• Stay up to date on regulatory developments and maintain a strong interest in anticipating future changes.
• Have experience with ADVs and other regulatory fillings.

Qualifications:

• Bachelor's degree from an accredited college or university is required; J.D. or advanced degree is a plus.
• Must have 3+ years of total experience in the compliance industry in one or more of the following: Hedge Funds, Private Equity, Venture Capital, Credit, Real Estate, Asset Management, or Regulatory Agencies.
• Strong interpersonal skills, with the ability to work independently or as part of a team, including on-site at client offices.
• Excellent written and verbal communication skills.
• Independent, self-starter, entrepreneurial mind-set, collaborative problem solver.
• Strong analytical and research skills.
• Ability to manage multiple projects and shifting priorities effectively in a fast-paced 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.

Seniority level

• Seniority levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionFinance, Legal, and Consulting

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Pension plan

Paid paternity leave

Disability insurance

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