Locations: Hybrid - San Francisco, Los Angeles, or San Diego
Optima Partners is seeking an Associate to provide senior oversight on client regulatory compliance matters across a diverse range of financial entities, including asset managers, hedge funds, private equity, venture capital, BDCs, real estate, credit managers, banks and broker-dealers.
Key Responsibilities:
Support the sales cycle, including pitches, proposals, follow-ups, and contract negotiations.
Lead or support a portfolio of clients, serving as the primary day-to-day compliance resource.
Advise on practical compliance and regulatory matters related to the SEC (e.g., Advisers Act).
Provide expertise on BDCs and/or the Investment Company Act of 1940 (highly desirable).
Experience with FCA or other global regulators is a plus
Knowledge of CFTC/NFA, FINRA, and broker-dealer regulations is advantageous.
Conduct and oversee regulatory mock audits, including document reviews, on-site evaluations, interviews, and reporting.
Develop and implement compliance policies and procedures, including compliance manuals, codes of ethics, and related documentation.
Lead compliance protocols and training on topics such as expert networks/MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, and other regulatory obligations.
Stay updated on evolving regulatory developments and proactively advise clients on emerging changes.
Assist with ADVs and other regulatory fillings.
Qualifications & Requirements:
Bachelor's degree from an accredited institution required; J.D. or advanced degree is a plus.
2+ years of compliance experience within one or more of the following: hedge funds, private equity, venture capital, real estate, BDCs, credit managers, asset managers (in-house), advisory firms, or regulatory agencies.
Strong interpersonal skills with the ability to work both independently and within a team, including on-site client engagements.
Excellent written and verbal communication skills.
Independent, entrepreneurial mindset with strong problem-solving abilities.
Strong analytical and research skills with the ability to multi-task in a fast-paced environment.
Ability to quickly adapt to new tasks and shifting priorities. Must be authorized to work in the U.S and able to start with minimal restrictions.
Why Join Optima Partners?
Work in a dynamic team environment within a growing global firm.
Collaborate regularly with Partners, Directors, and Senior Staff.
Hybrid work flexibility with locations in San Francisco, Los Angeles and San Diego.
Competitive benefits and career growth opportunities.
Equal Opportunity Employer
Optima Partners is committed to fostering an inclusive and diverse workplace. We do not discriminate based on gender, gender identity, race, religion, color, nationality, ethnicity, sexual orientation, marital status, veteran status, age or disability.