[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.
Company Overview