Why Join Us?
Optima Partners is a global firm that recognizes its people as its greatest asset. We are committed to building a strong, stable team of compliance professionals who take pride in delivering high-quality, detail-oriented work in a highly regulated environment.
This Analyst role is designed for individuals who are interested in developing deep technical expertise in surveillance, monitoring, and regulatory compliance processes. The position focuses specifically on employee trade surveillance, electronic communications monitoring, and expert network call reviews for regulated investment management firms.
We value consistency, accuracy and sound judgement. The role offers structured responsibilities within a collaborative global team, providing long-term stability and the opportunity to become a subject matter specialist in compliance monitoring and surveillance activities.
This is a full-time remote opportunity.
Total starting compensation: £30,000 per annum.
Responsibilities
Compliance Analysts support Senior Compliance Consultants in the development, implementation, and ongoing maintenance of compliance programs for a range of regulated investment management firms, including but not limited to:
* 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
Requirements
* 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
Equal Opportunities
Optima Partners is committed to providing equal opportunities in employment. We do not discriminate on the basis of gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, veteran status, age, or disability.