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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