- 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 plusWork in a dynamic team environment in a growing region of a global Firm
- Regular opportunity for interaction and collaboration with Optima's Partners, Directors and Senior Staff
- Have familiarity with various regulatory mock examination 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 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 developments and will to remain abreast of new developments on the horizon
- Have experience with ADVs and other regulatory filings
- 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
- Ability to master new tasks quickly and effectively
- Must have the ability to start with limited restrictions
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Associate Director - California, United States - Optima Partners
3 weeks ago
Description
Optima Partners is looking for an Associate Director within the San Francisco or Los Angeles Office, to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, bdcs, real-estate, credit managers, banks and broker-dealers.
Considered candidates will:
REQUIREMENTS:
The role is a hybrid role. Candidates can be located in San Francisco, Los Angeles or San Diego or potential New York
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.
