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 experienced consultants and gain 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 outside 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., Form ADV, Form 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

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