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 ResponsibilitiesMonitoring expert network callsMonitoring employee personal trading and electronic communicationsPreparing and maintaining employee disclosure forms and assisting clients in organization and maintenance of required books and recordsPerforming 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 programDeveloping and implementing compliance policies and proceduresAssisting in annual compliance reviews and mock regulatory examinationsRegistering clients as investment advisers/broker dealers with the appropriate US regulatory bodiesPreparing and submitting annual and quarterly regulatory filingsAssisting in providing regulatory exam supportPossible promotion to Associate after 2-yearsReporting line to Director at Optima PartnersRequirementsUndergraduate degree required from an accredited college or university; Masters degree is a plusPermitted to work in the USMust be able to start immediatelyExcellent written and verbal communication skillsIndependent, self–starter, as well as collaborative problem solverStrong analytical and research skillsAbility to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environmentAbility to master new tasks quicklyOptima 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.