Services

Optima provides end-to-end solutions across the full lifecycle of regulatory and compliance needs, from initial regulatory registration to complex multi-jurisdictional oversight.

Solutions

Our services are built around what matters most: your business, your regulatory obligations, and your reputation. Combining regulatory insight with deep operational and technical fluency, we deliver solutions that are thoughtful, tailored, and strategically implemented.

Services

Pre-Launch and Launch
Phase Ongoing Compliance
Solutions Regulatory Exams,
Enforcement, and Crisis
Management Project-based and
Embedded Support Cybersecurity
& Risk

Pre-Launch and Launch Phase

  • Regulatory registrations and authorizations, including: SEC CFTC/NFA FINRA FCA SFC MAS DFSA FRSA
  • Establishment of compliance programs, including: Policies and procedures Risk assessments Governance Monitoring and testing plans

Ongoing Compliance Solutions

  • Compliance advisory
  • Ongoing program management and oversight
  • Monitoring, testing, and surveillance
  • Thematic reviews
  • Annual compliance reviews
  • Marketing material reviews
  • Code of Ethics support
  • Expert network call chaperoning and reviews
  • Regulatory filings
  • Tailored training
  • Vendor due diligence

Regulatory Exams, Enforcement, and Crisis Management

  • Mock regulatory exams
  • Ongoing support during regulatory exams, reviews, or enforcement matters
  • Remediation support in times of stress

Project-based and Embedded Support

  • Outsourced CCO services
  • Secondments
  • Regulatory change management
  • Other one-time projects upon request
  • Pre-Acquisition or Merger Compliance Due Diligence

Cybersecurity & Risk

  • Cyber assessments and vulnerability reviews
  • Policy development, vendor risk, and third-party oversight
  • Phishing simulations, training, and tabletop exercises
  • Implementation support and incident preparedness

Who we serve

We specialize in supporting financial institutions globally - from large investment managers to boutique firms and new market entrants. Whether launching a new fund or managing established operations, our clients value our ability to provide precise, practical, and proactive support.

Private Equity

hedge funds

venture capital

real estate funds

Asset Managers &
Investment Advisors

Broker-Dealers

Wealth Managers

Digital & Crypto
Asset Managers

Private Credit