Associate Job at Optima Partners, New York, NY

R0hBYWtWZUd5MTRSMUZTdnBFMHdOWWRJWGc9PQ==
  • Optima Partners
  • New York, NY

Job Description

Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.

Considered Candidates Will:

  • Support a large portfolio of clients as the primary day-to-day oversight resource
  • Have familiarity for practical compliance and regulatory matters relating to SEC (e.g., Advisers Act)
  • CFTC / NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus
  • Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports
  • Demonstrate the ability to support with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, etc.
  • Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion
  • Be up to date on current regulatory developments and will to remain abreast of new developments on the horizon
  • Have experience with ADVs / Form PFS and other regulatory filings

Requirements:

  • Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
  • MUST HAVE 2+ years of total compliance industry experience working at one or more: Hedge fund/ Private Equity /Venture Capital/Credit/Real-Estate/ BDC / asset / investment managers (in-house), advisory services firm or ex. regulator
  • Strong interpersonal skills, ability to independently (or as part of a team) work on-site at a client office
  • Excellent written and verbal communication skills
  • 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 and effectively
  • Must have the ability to start with limited restrictions

The role is a hybrid role. Candidates can be located in New York

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.

Job Tags

Shift work,

Similar Jobs

Hoopes Vineyard

Prep Cook / Line Cook Job at Hoopes Vineyard

Prep Cook / Line Cook The Coop by Hoopes (Yountville, CA) Full-Time | Weekends Required | Must Be 21+ The Coop by Hoopes is anew outdoor patio caf and farm standlocated in downtown Yountville, just behind the Little League baseball diamond. We serve seasonal food...

Carrington, Coleman, Sloman & Blumenthal, LLP

HUMAN RESOURCES AND RECRUITING ASSISTANT Job at Carrington, Coleman, Sloman & Blumenthal, LLP

 ...payroll details. Performs backup payroll duties and supports general HR functions. Oversees all benefits monthly billings and addresses...  ...the job. Backup to the payroll and benefits administrator assisting with reviewing time entries, updated contact information, assist... 

Akkodis

Test Operator Job at Akkodis

 ...addition, our associates may be eligible for paid leave including Paid Sick Leave or any other paid leave required by Federal, State, or local law, as well as Holiday pay where applicable. Disclaimer: These benefit offerings do not apply to client-recruited jobs and jobs... 

Petersen + Landis, P.C.

Associate Attorney Job at Petersen + Landis, P.C.

 ...excellent written and verbal communication skills. Admission in California is required. Competitive compensation and a flexible work schedule with partial remote work week is being offered. To apply, candidates must include a cover letter, resume, and law school... 

Prime Physicians

Clinic Registered Nurse - Ogema, MN Job at Prime Physicians

 ...Job Title: Clinic Registered Nurse Day Shift Location: Near White Earth, Minnesota Key Responsibilities: Provide direct patient care in a clinic setting, including assessments, treatments, and patient education. Administer medications and treatments...