What are the responsibilities and job description for the Compliance Analyst position at JW Michaels & Co.?
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)
Salary : $80,000 - $150,000
