Compliance Associate

1 week ago

London, Greater London, United Kingdom Optima Partners Full time £40,000 - £60,000 per year

Why join us?

Optima Partners is a unique global firm which understands that its people are its greatest asset. We are 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 our employees the opportunity to quickly progress in their careers within a merit-based culture.

The core values that our team shares include: 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 is looking for a Compliance Associate to assist with compliance reviews and advisory assessments for asset managers, hedge funds, and private equity clients. This is a full-time opportunity with a 3 days/week on-site schedule. The total starting compensation is 48, ,000 GBP annually (DOE).

Considered candidates will:

  • Lead or co-lead roles for client compliance reviews, ad-hoc inquiries, and relationship management.
  • Support compliance program email reviews, expert network processes, marketing materials and personal trading.
  • Identify and communicate required compliance advisory feedback;; explain the regulatory basis for suggested changes to clients.
  • Assist with compliance protocols and training regarding all compliance policies, procedures, examinations and audits.
  • Independently review, interpret and share feedback / opinions for new regulations coming online.
  • Find the answer to regulatory questions and explain the process and how certain conclusions were derived.
  • Be familiar with various SEC/FCA, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds.

Requirements:

  • Undergraduate degree required from an accredited college or university, J.D. or Master's degree is a plus.
  • 2+ years of experience working in compliance at a consulting firm.
  • Must have in-house compliance experience and responsibility for conducting compliance program reviews.
  • 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
  • Experience with Financial Conduct Authority (FCA) a plus.

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.

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