Overview
Associate Director Jobs in San Francisco, California, USA at Optima Partners
Optima Partners is looking for an Associate Director in San Francisco, CA.
This local job opportunity with   is live since :55:44.
The role is a hybrid role with 2 days in the San Francisco office and 3 days from home, providing 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.
Considered candidates 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 with 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 is also a plus.
CFTC/NFA and FINRA (e.g., broker-dealer) rules, and other regulators experience is also a plus.
Work in a dynamicteam environment in a growing region of a global firm.
Regularly interact and collaborate with Optima Partners, Directors, and Senior Staff.
Have familiarity with various regulatory mock examinations audits, including documentation requests, onsite reviews/interviews, and drafting reports.
Lead clients in 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 compliance protocols and training regarding 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, focusing resources on the necessary tasks that need completion without compromising quality or other client deliverables.
Stay up to date on current regulatory developments and remain abreast of new developments on the horizon.
Have experience with ADVs and other regulatory filings.
Requirements:
Undergraduate degree required from an accredited college or university; J.D. or advanced degree is 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 and the ability to work independently (or as part of a team) on-site at a client office.
Excellent written and verbal communication skills.
Independent, self-starter, entrepreneurial mindset, as well as a 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 start with limited restrictions.
Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reasons of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.
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Title: Associate Director
Company: Optima Partners
Location: San Francisco, California, USA
Category: Finance & Banking, Law/Legal
