Principal (Sonoma)

About Optima PartnersEstablished 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.The RoleWe are seeking a Principal to join our growing US practice, based in San Francisco, Los Angeles, San Diego, Miami or New York. This is a senior client-facing and operational leadership role, supporting the West Coast Partner in delivering and scaling our business.As Principal, you will serve as a trusted senior advisor to a portfolio of private markets clients, taking day-to-day ownership of client relationships, engagements, and delivery quality. You will also play an active role in business development, team leadership, and the commercial performance of the US practice. This role is offered on a hybrid basis with a minimum of 3 days per week in the office.What You Will DoClient Leadership & AdvisoryServe as a trusted compliance adviser to a portfolio of alternative investment manager clients, taking senior day-to-day ownership of key client relationships, provide ongoing senior leadership support to Associate Directors and Directors reporting into West Coast Partner, and deliver quality work productAdvise on the design, implementation, and enhancement of compliance programs, including policies, procedures, compliance manuals, and governance frameworksLead mock regulatory examinations, regulatory gap analyses, and compliance reviews, including document requests, interviews, testing, and report draftingProvide guidance on key compliance topics including MNPI and expert networks, marketing and investor communications, personal trading, electronic communications surveillance, best execution, and annual reviews under SEC Rules 206(4)-7 and 38a-1Support clients with regulatory filings, including Form ADV and Form PF preparation and updatesInterpret regulatory developments and provide strategic guidance on emerging compliance risksRepresent Optima externally, building and sustaining strong, long-term client relationships across private credit, private equity, real estate, and related structuresBusiness DevelopmentSupport and lead business development activities including proposals, pitches, scope discussions and client expansion conversationsIdentify opportunities to grow existing client relationships and introduce new service linesContribute to Optima's West Coast market presence and industry profileCommercial & Financial ManagementMargin management and resourcing considerations based on project requirementsActively monitor utilization, timesheets, and gross margins on a client-by-client basisDraft and manage proposals and statements of work, ensuring commercial targets are metTeam Leadership & DevelopmentSupport and manage team members working on your client portfolio, providing on-the-job coaching and structured feedbackContribute actively to hiring decisions, performance reviews, and team development initiativesProactively set the tone and standard for delivery quality outputs across the West Coast practiceTechnical & Operational ExcellenceOwn and contribute to Optima compliance templates, methodologies, and internal standards relevant to your areas of expertiseChampion the use of technology and internal systems to drive efficiency and qualityContribute to internal training, regulatory updates, and thought leadershipWhat We Are Looking ForEssentialSignificant experience in regulatory compliance, either in-house at an asset manager or in a compliance consulting role — ideally bothDeep expertise advising private markets clients (private credit, private equity, real estate) on US regulatory requirementsProven track record leading complex, multi-workstream client engagementsExperience managing pricing, margins, and commercial scope discussionsDemonstrated ability to support and lead business development — proposals, pitches, and client growthStrong team leadership and people management skills, with experience managing and developing junior professionalsExcellent analytical and technical compliance skillsExceptional communication skills — clear, confident, and tailored to a senior audienceCommercial mindset with the ability to identify and deliver practical, margin-conscious solutionsBased in or willing to relocate to San Francisco, Los Angeles; San Diego. New York and Miami also consideredCompensation expectations aligned to Optima's Principal-level remuneration rangeAdvantageousProven track record of owning or materially contributing to revenue generation ($1M+ book of business)Regulatory background and experience with Investment Company Act complianceExisting West Coast client network within the alternative asset management spaceExperience with Salesforce or comparable CRM and timesheet management toolsWhy Optima PartnersSenior, high-impact role with genuine ownership of a growing US practiceAccess to a globally connected team of compliance specialists across the US, UK, Asia, and UAEClear and transparent pathway to Partner, supported by a structured promotion frameworkA culture built on technical excellence, collaboration, and trustCompetitive remuneration with performance-linked upsideHybrid working model — minimum 3 days per week in officeSalary Range: 200,000 - 280,000 OTE