Samantha Knezel

Financial Services Compliance officer with experience managing regulatory frameworks for ERAs, RIAs, and Broker-Dealers under SEC and FINRA oversight. Currently advancing expertise as a Series 65 Candidate (Expected Examination: September 2026.)

Contract Compliance Manager - Contract Employer - Miami, FL

(2026-01 - 2026-02)

• Directed the Rule 206(4)-7 annual review, designing new test modules, analyzing policy adequacy, and performing forensic testing on operational controls.

Senior Compliance Associate - Post Advisory Group - Los Angeles, CA

(2024-07 - 2025-10)

• Directed the Rule 206(4)-7 annual review
• Initiated a proactive, firm-wide analysis of state regulatory filing obligations, identifying key risk exposures and previously unaddressed compliance requirements.
• Analyzed the impact of new and proposed regulations from diverse domestic and international bodies (e.g., SEC, CIMA) to advise leadership on emerging risks.
• Supported portfolio compliance oversight through Charles River by monitoring trading activity, investment guidelines, client mandates, restricted lists, holdings, allocations, and compliance exceptions. Partnered with stakeholders to investigate and resolve trade-related compliance issues and drove remediation of a high-risk gap between firm policies and OMS controls, improving alignment between compliance requirements and trading system functionality.
• Point of contact for inquiries/due diligence requests from clients, stakeholders, and regulators.
• Reviewed and advised on marketing materials and investor communications to ensure compliance and mitigate regulatory or business risks.

Senior Analyst - Optima Partners - Miami, FL

(2023-10 - 2024-07)

• Developed and assisted with the implementation of compliance protocols, training, policies, procedures, examinations, and audits.
• Provided full-time consultancy services to an asset manager with $9.1 billion AUM.
• Handled IA registration and de-registration needs.
• Oversaw the annual review and updated/created compliance manuals and code of Ethics.
• Drafted quarterly/annual attestation questionnaires and training/review templates.
• Reviewed and approved initial marketing reviews and assisted with any client feedback/questions.

Analyst - Optima Partners - Miami, FL

(2022-07 - 2023-09)

• Utilized Compliance Management Systems (e.g., including ComplySci, Star Compliance, MCO, and Compliance Alpha.)
• Auditor to Expert Network calls preventing shared MNPI.
• Conducted reviews, testing, and surveillance (e.g., vendor due diligence, trade surveillance, and email archiving, Pay to Play, gifts and entertainment, conflicts of interest.)
• Supported SEC examinations.
• Enforced compliance with Code of Ethics and Compliance Manual.
• Drafted regulatory filings, including 13H, 13F, Form PF, ADV Part 1 and 2A, Form D, and 13G.
• Conducted initial review of marketing materials for registered investment advisers and broker-dealers.

Bachelor of Arts - Economics - University of South Florida (2022)