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- Tasks: Lead compliance reviews and provide advisory assessments for financial clients.
- Company: Optima Partners specializes in compliance solutions for asset managers and investment firms.
- Benefits: Gain valuable experience in a dynamic environment with opportunities for professional growth.
- Why this job: Join a team that values expertise and offers impactful work in the finance sector.
- Qualifications: Undergrad degree required; 3-6 years of industry experience preferred.
- Other info: Experience with FCA and familiarity with SEC regulations is a plus.
The predicted salary is between 43200 - 72000 £ per year.
Job Description Optima Partners is looking for a Compliance Associate/Sr. Associate to assist with compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients. Considered candidates will have: • Lead or joint lead roles for client compliance reviews, ad-hoc inquiries and relationship management • Experience with Financial Conduct Authority (FCA) a plus • Expertise in supporting compliance program email reviews, expert network processes, marketing materials and personal trading • Ability to succinctly identify and communicate required compliance advisory feedback, explain the regulatory basis for suggested changes to clients • Ability to assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits • Ability to independently review, interpret and share feedback / opinions for new regulations coming online • Finds the answer to regulatory questions and explains the process and how certain conclusions were derived • Familiarity with various SEC, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds REQUIREMENTS: • Undergrad degree required from an accredited college or university, J.D. or Master’s degree a plus. • 3 – 6yrs of total industry experie…
Senior Associate employer: Optima Partners
Contact Detail:
Optima Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Associate
✨Tip Number 1
Make sure to familiarize yourself with the latest regulations from the FCA, SEC, CFTC/NFA, and FINRA. Understanding these rules will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work with asset managers and hedge funds. Engaging in conversations can provide insights into the industry and may lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've handled compliance reviews or advisory assessments in your previous roles. Being able to articulate your experience will set you apart from other candidates.
✨Tip Number 4
Stay updated on current trends and challenges in the compliance landscape. Showing that you are proactive about learning and adapting will impress potential employers and highlight your dedication to the field.
We think you need these skills to ace Senior Associate
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Senior Associate position at Optima Partners. Understand the key responsibilities and required skills, especially those related to compliance reviews and advisory assessments.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience with compliance programs, particularly any roles where you led compliance reviews or managed client relationships. Mention specific examples that demonstrate your expertise in regulatory matters.
Tailor Your Application: Customize your application materials to reflect the language and requirements mentioned in the job description. Use keywords such as 'FCA', 'SEC', and 'compliance protocols' to show that you are a good fit for the role.
Showcase Communication Skills: Since the role requires clear communication of compliance feedback, include examples in your application that demonstrate your ability to explain complex regulatory concepts succinctly. This could be through previous work experiences or relevant projects.
How to prepare for a job interview at Optima Partners
✨Showcase Your Compliance Expertise
Be prepared to discuss your experience with compliance reviews and advisory assessments. Highlight specific examples where you led or contributed to client compliance reviews, and be ready to explain the regulatory frameworks you've worked with, such as FCA, SEC, or FINRA.
✨Communicate Clearly and Succinctly
Since the role requires the ability to communicate compliance feedback effectively, practice summarizing complex regulatory concepts in simple terms. This will demonstrate your ability to convey important information to clients who may not have a compliance background.
✨Demonstrate Problem-Solving Skills
Prepare to discuss how you've approached regulatory questions in the past. Share examples of how you found answers to compliance issues and the thought process behind your conclusions. This will show your analytical skills and your ability to navigate complex regulations.
✨Familiarize Yourself with Current Regulations
Stay updated on the latest regulations affecting asset managers, hedge funds, and private equity. Being knowledgeable about recent changes will not only impress your interviewers but also show your commitment to staying informed in the compliance field.
