Compliance Analyst

Optima Partners is seeking a motivated individual to join their Miami office as a Compliance Analyst. This role offers a unique opportunity to participate in a 2-year hands-on training program focused on financial compliance and regulation within 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
• 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
• Master's or JD

Benefits

• 2-year hands-on training program
• Work alongside experienced consultants
• All analysts get a mentor and comprehensive training
• Full-time, hybrid (3 days on-site per week) opportunity based in Miami, FL
• Direct reporting line into Associate Director+ employees
• Opportunity to be promoted to Senior Analyst after 1 year and Associate after 2 years

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