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- Tasks: Lead compliance reviews and provide advisory assessments for asset managers and hedge funds.
- Company: Optima Partners is a global leader in regulatory compliance support for financial services.
- Benefits: Enjoy a meritocratic culture with opportunities for rapid career advancement and frequent training.
- Why this job: Join a dynamic team that values proactive thinking and offers a collaborative work environment.
- Qualifications: 3-6 years of compliance experience required; undergrad degree necessary, J.D. or Master’s preferred.
- Other info: Optima is committed to equal opportunities and values diverse backgrounds.
The predicted salary is between 43200 - 72000 £ per year.
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 experience working at a private equity focused asset manager, consultant or ex. regulator
• Must have in-house compliance experience and responsibility for conducting compliance program reviews
• Must be willing to immediately start
• Excellent written and verbal communication skills
• Independent, self–starter, as well as collaborative problem solver
• Strong analytical and research skills
• Ability to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environment
• Ability to master new tasks quickly
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.
About Optima Partners
Optima established itself as a market leader by setting up a unique team to address regulatory matters facing our clients in the market today. Consequently, Optima is able to provide comprehensive and cutting-edge regulatory compliance support both domestically and globally to leading hedge funds, private equity, asset managers, banks and broker-dealers.
Optima Partners is a unique global firm which understands that its people are its greatest asset. We are therefore 100% committed to attracting and keeping the highest quality people. As a market leading and growing firm with a very flat structure, we offer our people the chance to move forward quickly in their career within a meritocratic culture.
The core values that our team share are being proactive, solutions focused, interactive and dynamic in the ever evolving industry that we work in. We seek to encourage new ideas and proactive thinking across all members of the team and constantly invest in new people that share our values.
Optima Partners presents its people with a unique opportunity to work collectively and collaboratively within our global team as well as a platform to reap the rewards of strong performance. Optima’s experienced global team will accelerate the Analyst’s learning and growth by providing frequent trainings on various topics, shaping the Analyst’s career path to becoming an expert compliance professional in the financial services industry.
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
Familiarize yourself with the specific compliance regulations relevant to asset managers, hedge funds, and private equity. Understanding the nuances of FCA, SEC, CFTC/NFA, and FINRA rules will give you a significant edge in discussions during the interview.
✨Tip Number 2
Highlight your experience in conducting compliance program reviews and your ability to communicate complex regulatory concepts clearly. Be prepared to discuss specific examples where you've successfully navigated compliance challenges.
✨Tip Number 3
Showcase your analytical and research skills by staying updated on recent regulatory changes. Being able to discuss how these changes impact compliance practices will demonstrate your proactive approach and expertise.
✨Tip Number 4
Emphasize your collaborative problem-solving abilities. Optima Partners values teamwork, so be ready to share instances where you've worked effectively within a team to address compliance issues or improve processes.
We think you need these skills to ace Senior Associate
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly with asset managers, hedge funds, and private equity. Emphasize any roles where you led compliance reviews or managed client relationships.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of compliance regulations and your ability to communicate complex regulatory feedback. Mention specific experiences that demonstrate your expertise with FCA, SEC, CFTC/NFA, and FINRA rules.
Showcase Analytical Skills: Provide examples in your application that showcase your strong analytical and research skills. Highlight instances where you independently reviewed new regulations and provided actionable insights.
Demonstrate Communication Skills: Since excellent written and verbal communication skills are crucial for this role, ensure your application is well-written and free of errors. Consider including a brief example of how you've effectively communicated compliance-related information to clients.
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 compliance projects, especially in relation to asset managers, hedge funds, or private equity.
✨Understand Regulatory Frameworks
Familiarize yourself with the Financial Conduct Authority (FCA) regulations and other relevant SEC, CFTC/NFA, and FINRA rules. Be ready to explain how these regulations impact compliance practices and how you've navigated them in past roles.
✨Demonstrate Strong Communication Skills
Since excellent written and verbal communication is crucial for this role, practice articulating complex compliance concepts clearly and succinctly. Prepare to explain how you would communicate compliance feedback to clients effectively.
✨Emphasize Problem-Solving Abilities
Optima Partners values proactive and solutions-focused team members. Prepare examples of how you've tackled compliance challenges in the past, showcasing your analytical skills and ability to work collaboratively in a team environment.
