Optima Partners

Overview

Optima Partners is a prominent provider of regulatory compliance and advisory services for the investment management industry, based in New York City. The firm specializes in helping clients navigate complex regulatory environments, offering a range of outsourced compliance services. These services include initial registration support, ongoing compliance systems, multi-jurisdictional regulatory guidance, and customized advisory services. The firm is well-versed in various regulations, including those from the SEC, CFTC/NFA, FINRA, UK FCA, and Hong Kong SFC.

With a client base of around 1,000, the company serves a diverse array of investment firms, including hedge funds, private equity firms, broker/dealers, and investment banks. There is a global presence with offices in key financial hubs such as New York, Los Angeles, Dubai, Singapore, London, and Hong Kong. The team comprises former regulators, lawyers, and industry experts, all committed to providing practical, client-focused advice tailored to individual business needs. The firm fosters a collaborative and inclusive culture, encouraging initiative and teamwork among its employees.

Basic Information

Contact Details

• Phone: +1 646-205-6380
• Website: optima-partners.com
• LinkedIn: linkedin.com/company/optima-partners-llc

Key Focus Areas & Initiatives

• compliance advisory
• esg
• cybersecurity
• regulatory strategy
• other scientific and technical consulting services
• regulatory investigations
• regulatory monitoring and audits
• regulatory consulting
• global compliance solutions
• multi-jurisdictional compliance
• investment banking regulation
• regulatory landscape analysis
• regulatory due diligence for investors
• regulatory investigations support
• compliance systems
• regulatory filings and disclosures
• regulatory licensing
• investment firms
• regulatory landscape
• consulting
• regulatory registration process
• regulatory monitoring
• regulatory support services
• regulatory reporting
• regulatory compliance advice
• regulatory environment
• regulatory bodies
• regulatory compliance
• regulatory compliance systems
• regulatory advisory
• regulatory due diligence
• legal services
• regulatory requirements
• regulatory approvals
• broker-dealer compliance
• regulatory registration in multiple jurisdictions
• regulatory risk assessment
• b2b
• regulatory environment support
• regulatory approval process
• regulatory support
• regulatory audits
• regulatory compliance frameworks
• regulatory advice
• risk management
• investment management
• regulatory authority engagement
• regulatory registration services
• services
• regulatory landscape support
• financial services
• regulatory frameworks
• regulatory authorities
• private equity regulation support
• regulatory filings
• regulatory change management
• regulatory change
• regulatory registration
• regulatory registration process support
• regulatory risk management
• regulatory expertise
• compliance support
• regulatory compliance systems implementation
• regulatory compliance for hedge funds
• regulatory process
• regulatory risk
• anti-money laundering
• compliance monitoring
• market regulatory change
• sec compliance
• fca compliance
• uk fca
• cftc compliance
• finra compliance
• sfc compliance
• investment regulations
• compliance framework design
• corporate compliance
• financial services consulting
• global regulatory expertise
• e-comms surveillance
• expert networks monitoring
• marketing reviews
• mock regulatory exams
• investigations
• securities regulations
• investment adviser registration
• risk-based compliance
• regulatory thematic reviews
• health checks
• talent advisory
• esg regulatory compliance
• compliance partnerships
• client support services
• client alerts
• local compliance requirements
• regulatory change implementation
• regulatory exams
• fca s.166 investigations
• compliance infrastructure update
• global investment firms
• market access compliance
• tailored compliance solutions
• outsourced compliance services
• investment management firms
• regulatory challenges
• global financial sector practices
• investment fund compliance
• compliance training programs
• finance
• legal

Technologies Used

• Akamai DNS
• Microsoft Office 365
• Mimecast
• Pardot
• Rackspace
• Remote
• Sage Intacct
• Slack