Optima Partners · 1 day ago
Compliance Analyst
Miami, FL
Full-time
Hybrid
New Grad, Entry Level
$55K/yr - $55K/yrOptima 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 various compliance topics within the investment management industry.
ConsultingFinanceFinancial Services
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
Qualification
Required
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
Preferred
Master's or JD a plus
Company
Optima Partners
Optima Partners is a consulting and financial service provider company.
Founded in 2014
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
unknownKey Investors
Bregal Sagemount
2022-07-12Private Equity
Leadership Team
Michael Timotheou
President, Chief Operating Officer
Recent News
2025-12-02
2025-12-01
2024-12-14
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