Compliance Analyst

Job Description

Compliance Analyst | Optima Partners

The Tone:
This is a full-time, hybrid role at Optima Partners, located in our San Francisco office, requiring 3 days on-site per week. Optima Partners is a firm specializing in financial compliance and regulation, providing expert guidance to clients across the investment management industry. This role offers a unique opportunity for recent graduates to launch their careers within a structured 2-year hands-on training program, gaining exposure to a wide range of compliance topics. The Compliance Analyst is essential for ensuring client adherence to regulatory standards by monitoring activities, managing documentation, and contributing to core compliance functions, directly impacting client success in a complex regulatory landscape.

The TL;DR
• Role: Early Career
• Type: Full-time
• Location: Hybrid, San Francisco Bay Area
• Pay: $71000 yearly
• Team: Analysts report directly to Associate Director+ employees with promotion opportunities to Senior Analyst after 1 year and Associate after 2 years.
• Mission: To assist clients in navigating financial compliance and regulation through comprehensive monitoring, review, and documentation.

What You’ll Actually Do
• Monitor & Review: Monitor expert network interactions and employee personal trading, alongside reviewing and archiving employee communications like email and chat.
• Maintain & Organize: Maintain employee disclosure forms and assist clients with organizing regulatory books and records.
• Conduct Testing: Perform periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities.
• Document & File: Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation, and prepare/file required quarterly and annual regulatory submissions such as Form ADV and Form U4.
• Support & Register: Contribute to annual compliance reviews, help register clients as investment advisers or broker-dealers, and support clients during regulatory exams and inquiries.

The Must-Haves
• Background: Bachelor’s degree from an accredited college or university; authorized to work in the United States. This is an early career opportunity designed for recent graduates.
• Experience: No prior professional experience in compliance required; this role includes a comprehensive 2-year hands-on training program.
• Skills: Excellent written and verbal communication, highly organized and detail-oriented, strong analytical and research capabilities, ability to manage multiple projects in a collaborative environment.
• Bonus: Master’s or JD degree.