[Remote] Compliance Analyst

Note: The job is a remote job and is open to candidates in USA. Optima Partners is a global firm that recognizes its people as its greatest asset. They are seeking a Compliance Analyst to develop technical expertise in surveillance, monitoring, and regulatory compliance processes for investment management firms.

Responsibilities

• Conducting expert network chaperoning and reviewing expert network calls to identify and escalate potential regulatory risks
• Performing electronic communications surveillance and related monitoring activities
• Reviewing marketing materials and social media content for regulatory compliance
• Supporting anti-money laundering (AML) monitoring and regulatory filings, where required
• Analyzing clients’ books and records to identify potential compliance breaches or conduct risks
• Reviewing personal account dealing, gifts and entertainment, outside business interests, and conflicts of interest as part of ongoing monitoring programs
• Assisting with the execution of compliance monitoring reviews, including reviewing policies and procedures and drafting reports summarizing findings and recommendations

Skills

• University degree
• Excellent written and verbal communication skills
• Strong analytical, research, and problem-solving skills
• Ability to work independently and collaboratively within a team
• Strong organizational skills with the ability to manage multiple projects and shifting priorities
• Ability to quickly understand and apply new regulatory concepts

Benefits

• This is a full-time remote opportunity.

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