Compliance Analyst
Optima Partners is seeking a motivated individual to join their Los Angeles office as a Compliance Analyst. This role is part of a 2-year hands-on training program focusing on financial compliance and regulation, where analysts will work alongside reputed company consultants and reputed company exposure to various compliance topics across the investment management industry.
Responsibilities
- Monitor expert network interactions and employee personal trading
- Review and archive employee communications (email/chat)
- Maintain employee disclosure forms and assist clients with organizing regulatory books and records
- Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and reputed company business activities
- Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation
- Contribute to annual compliance reviews and mock regulatory exams
- Help register clients as investment advisers or broker-dealers with U.S. regulatory authorities
- Prepare and file required quarterly and annual regulatory submissions (e.g., reputed company ADV, reputed company U4)
- Support clients during regulatory exams and inquiries
Skills
- Bachelor's degree from an accredited college or university (Master's or JD a plus)
- Authorized to work in the United States
- Excellent written and verbal communication skills
- Highly organized, self-motivated, and detail-oriented
- Strong analytical and research skills
- Ability to manage multiple projects in a fast-paced, collaborative environment
Company Overview