Job Description
Compliance Analyst – Top Private Equity/Credit Firm (CT)
A leading private equity and credit firm headquartered in Connecticut is seeking a Compliance Analyst to join its growing team. This role offers the opportunity to work directly with the Chief Compliance Officer (CCO) and gain hands-on experience covering all aspects of regulatory compliance .
Key Responsibilities:
- Assist with regulatory filings, monitoring, and reporting (SEC, FINRA, etc.).
- Support the firm’s compliance program, policies, and procedures to ensure adherence to industry regulations.
- Conduct trade surveillance, employee compliance reviews, and risk assessments .
- Collaborate with internal teams on audits, regulatory exams, and investor due diligence .
Qualifications:
- 1-3 years of compliance experience in private equity, credit, consulting, or financial services .
- Strong understanding of SEC regulations, investment adviser compliance, and regulatory filings .
- Detail-oriented with strong analytical and communication skills .
Location: Connecticut (on-site)
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