Compliance Analyst

Are you a recent graduate looking to launch your career in financial compliance and regulation?Optima Partners is seeking a motivated individual to join our San Francisco office as a Compliance Analyst. This is a unique opportunity to be a part of a 2-year hands-on training program where you'll work alongside experienced consultants and gain exposure to a wide range of compliance topics across the investment management industry. All analysts get a mentor and comprehensive training.This is a full-time, hybrid (3 days on-site per week) opportunity based in San Francisco. The total compensation: $71,000 annually.Responsibilities Include:Monitor expert network interactions and employee personal tradingReview and archive employee communications (email/chat)Maintain employee disclosure forms and assist clients with organizing regulatory books and recordsConduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activitiesAssist in drafting and updating compliance manuals, codes of ethics, and other key documentationContribute to annual compliance reviews and mock regulatory examsHelp register clients as investment advisers or broker-dealers with U.S. regulatory authoritiesPrepare and file required quarterly and annual regulatory submissions (e.g., Form ADV, Form U4)Support clients during regulatory exams and inquiriesRequirements:Bachelor’s degree from an accredited college or university (Master’s or JD a plus)Authorized to work in the United StatesExcellent written and verbal communication skillsHighly organized, self-motivated, and detail-orientedStrong analytical and research skillsAbility to manage multiple projects in a fast-paced, collaborative environmentAll analysts have a direct reporting line into Associate Director+ employees and the opportunity to be promoted to Senior Analyst after 1 year and Associate after 2 years.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.