Compliance Analyst

Optima Partners is seeking a motivated individual to join their Los Angeles office as a Compliance Analyst. This role is part of a 2-year hands-on training program focusing on financial compliance and regulation, where analysts will work alongside experienced consultants and gain exposure to various compliance topics across the investment management industry. 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 Skills Bachelor's degree from an accredited college or university (Master's or JD a plus) 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 Company Overview Optima Partners is a consulting and financial service provider company. It was founded in 2014, and is headquartered in New York, New York, USA, with a workforce of 51-200 employees. Its website is