Senior Compliance Specialist

6 days ago


Fremont, California, United States Optima Partners Full time
Job Description:
Optima Partners is a dynamic global firm seeking a Senior Compliance Specialist to provide senior oversight on client regulatory compliance matters across a diverse range of financial entities. This role involves supporting the sales cycle, leading or supporting a portfolio of clients, and advising on practical compliance and regulatory matters.

Key Responsibilities:
  • Support the sales cycle, including pitches, proposals, follow-ups, and contract negotiations.
  • Lead or support a portfolio of clients, serving as the primary day-to-day compliance resource.
  • Advise on practical compliance and regulatory matters related to the SEC (e.g., Advisers Act).
  • Provide expertise on BDCs and/or the Investment Company Act of 1940.
  • Conduct and oversee regulatory mock audits, including document reviews, on-site evaluations, interviews, and reporting.
  • Develop and implement compliance policies and procedures, including compliance manuals, codes of ethics, and related documentation.

Qualifications & Requirements:
  • Bachelor's degree from an accredited institution required; J.D. or advanced degree is a plus.
  • 2+ years of compliance experience within one or more of the following: hedge funds, private equity, venture capital, real estate, BDCs, credit managers, asset managers (in-house), advisory firms, or regulatory agencies.
  • Strong interpersonal skills with the ability to work both independently and within a team.
  • Excellent written and verbal communication skills.
  • Independent, entrepreneurial mindset with strong problem-solving abilities.
  • Ability to quickly adapt to new tasks and shifting priorities.


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