Asset Management Firm

Compliance Analyst, Westport, CT

Compliance Analyst (Westport, CT): Our client an established asset management firm with over $5B in AUM is eager to bring on a motivated compliance analyst to join their team in Connecticut. This is a great opportunity for an energetic, mature young professional who has a keen interest in compliance and a strong understanding of the importance of discretion in a fast-paced environment.

  • First time hire directly under the CCO in a newly created capacity due to the firm’s growth 
  • Firm is family oriented, low key, and collaborative; they offer tremendous work/life balance and a very positive work environment 
  • Candidate will gain experience and exposure across all areas of compliance 
  • Great opportunity to work in CT and avoid a commute into the city 


  • Assist with writing and reviewing compliance policies and procedures; prepare regulatory filings (13F, 13G and 13H filings and Form PF)
  • Assist with preparing third party due diligence and Form ADV; assist with daily surveillance of mutual fund and private fund portfolio compliance
  • Assist with code of ethics, allocation and proxy along with other compliance testing and reviews; supervise mutual fund board material production
  • Manage special projects and other ad-hoc assignments as necessary 


  • 2 – 4 years of work experience in the financial services industry, within a legal or compliance role; knowledge of personal trading compliance systems (MyCompliance Office) and Eze Software and/or similar trading platform compliance systems
  • Familiarity with the Investment Advisers Act of 1940 and Investment Company Act of 1940; excellent problem-solving and organizational skills with strong attention to detail
  • Ability to work successfully both independently and in a team environment; proficiency with Microsoft Office (Excel PowerPoint and Word)

Job Reference #1437

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