Senior Regulatory Advisor

2 days ago


London, Greater London, United Kingdom Optima Partners Full time

Job Overview

At Optima Partners, we are dedicated to providing top-notch regulatory compliance support to our clients. As a Senior Regulatory Advisor, you will play a key role in assisting with compliance reviews, advisory assessments, and relationship management.

Key Responsibilities

  • Leading or joint-lead roles for client compliance reviews, ad-hoc inquiries, and relationship management
  • Experience with Financial Conduct Authority (FCA) regulations is highly desirable
  • Expertise in supporting compliance program email reviews, expert network processes, marketing materials, and personal trading
  • Succinctly identifying and communicating required compliance advisory feedback, explaining the regulatory basis for suggested changes to clients
  • Assisting with compliance protocols and training regarding all compliance policies, procedures, examinations, and audits
  • Independently reviewing, interpreting, and sharing feedback/opinions on new regulations coming online
  • Finding answers to regulatory questions and explaining 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

The ideal candidate will have:

  • An undergraduate degree from an accredited college or university; a J.D. or Master's degree is highly desirable
  • A minimum of 3-6 years of total industry experience working at a private equity-focused asset manager, consultant, or ex-regulator
  • In-house compliance experience and responsibility for conducting compliance program reviews
  • A willingness to start immediately
  • Excellent written and verbal communication skills
  • An independent, self-starter attitude, as well as collaborative problem-solving skills
  • Strong analytical and research skills
  • The ability to multitask and prioritize across a range of projects with constantly shifting priorities in a team environment
  • The ability to master new tasks quickly

Compensation and Benefits

Our competitive salary package ranges from $90,000 to $125,000 per annum, depending on experience. We also offer opportunities for career growth and professional development, as well as a dynamic and supportive work environment.



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