Optima Partners is looking for an Associate Director within our San Francisco office, to have senior oversight of client regulatory compliance matters for some or all of the following: Asset Managers, Hedge Funds, Private Equity, Venture Capitals, BDCs, Real-Estate and Broker-Dealers.
The role is a hybrid role with 2 days the San Francisco office and 3 days from home.
Considered candidate will:
- Support sales cycles; pitches, proposals, follow-ons and general contract terms
- Lead or support a large portfolio of clients as the primary day-to-day oversight resource
- Have familiarity for practical compliance and regulatory matters relating to SEC (e.g.. Advisers Act)
- Experience with BDCs and/or the Investment Company Act of 1940 is highly desired; Financial Conduct Authority (FCA) or other global regulators experience also a plus
- CFTC/NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus work in a dynamic team environment in a growing region of a global firm
- Regular opportunity for interaction and collaboration with Optima Partners, Director and Senior Staff
- Have familiarity with various regulatory mock examinations audits, including documentation requests, onsite reviews/interviews and drafting reports
- Have the ability to lead clients on developing all relevant policies and procedures relating to compliance manuals, code of ethics and other areas documented within the business
- Demonstrate the ability to lead on with compliance protocols and training regarding use of expert networks/MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, etc
- Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion (without compromising quality or other client deliverables)
- Be up to date on current regulatory development and will to remain abreast of new developments on the horizon
- Have experience with ADVs and other regulatory fillings
Requirements:
- Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
- MUST HAVE 5-8 years of total compliance industry experience working at one or more: Hedge Fund/Private Equity/Venture Capital/Credit/Real-Estate/BDC/Asset/Investment Managers (in-house), Advisory Services Firm or Ex. Regulator
- Strong interpersonal skills, ability to independently (or as part of a team) work on-site at a client office
- Excellent written and verbal communication skills
- Independent, self-starter, entrepreneurial mind-set, 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
- Must have the ability to stat with limited restrictions
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.