Compliance Analyst

2 weeks ago

New City, United States Optima Partners Holdings LLC Full time

Optima Partners is looking for graduates or recent graduates to join our New York office as Compliance Analysts, supporting our Senior Compliance Consultants in developing, implementing and maintaining compliance programs for a variety of registered investment management firms. The Analyst program consists of 2-year hands-on training program. All Analyst receive forma and practical training as well as assigned mentor.The role has a hybrid schedule of 3 days a week in the office based in New York City.Responsibilities Include:Monitoring expert network callsMonitoring employee personal trading and electronic communicationsPreparing and maintaining employee disclosure forms and assisting clients in organization and maintenance of required books and recordsPerforming periodic forensic testing around personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interests, as part of clients compliance monitoring programDeveloping and implementing compliance policies and proceduresAssisting in annual compliance reviews and mock regulatory examinationsRegistering clients as investment advisers/broker dealers with the appropriate US regulatory bodiesPreparing and submitting annual and quarterly regulatory filingsAssisting in providing regulatory exam supportPossible promotion to Associate after 2-yearsReporting line to Director at Optima PartnersREQUIREMENTS:Undergraduate degree required from an accredited college or university. Masters degree is a plus.Permitted to work in the USMust be willing to start immediatelyExcellent written and verbal communication skillsIndependent, selfstarter, as well as collaborative problem solverStrong analytical and research skillsAbility to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environmentAbility to master new tasks quicklyThis is a full time role open for immediate start.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.#J-18808-Ljbffr

by Jobble

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