Compliance Analyst

Compliance Analyst

Our client located in Hartford CT is seeking a compliance analyst to join their team on a temporary basis for the next 6months. This position is onsite 4days per week and remote 1day per week. The pay is $35-38/hr.

Responsibilities

• Evaluate and handle employee requests involving personal securities trading, external business activities, private investment disclosures, and other matters governed by the Code of Ethics.

• Support employees with brokerage account administration, including gathering and reviewing account statements and coordinating broker feed connections with custodial institutions.
• Coordinate and support annual and quarterly employee certification and disclosure processes.
• Provide guidance to employees on the use of ComplySci and other compliance monitoring systems utilized for Code of Ethics administration.
• Address internal and external inquiries related to Code of Ethics policies and procedures.
• Maintain and update compliance records and documentation associated with employee Code of Ethics requirements.
• Assist in preparing and improving management reporting and analytics related to Code of Ethics oversight.
• Partner with Compliance, Legal, and cross-functional stakeholders to escalate concerns, support investigations, report findings, and implement corrective measures when required.
• Contribute to the enhancement of Code of Ethics policies, procedures, and training initiatives to reinforce a strong culture of compliance and ethical conduct.
• Support onboarding activities and ongoing compliance reviews for Senior Advisors, Operating Partners, consultants, and other affiliated external professionals.
• Manage compliance onboarding procedures for new employees, including disclosures, brokerage account setup, policy attestations, and access to compliance platforms.

Qualifications

• Two to three years of experience in a compliance-related role.
• Working knowledge of financial markets and investment products, with exposure to securities trading preferred.
• Experience with compliance monitoring platforms such as ComplySci is highly desirable.
• Strong analytical and problem-solving abilities, including the capability to review large datasets and identify irregularities or potential compliance concerns.
• Highly detail-oriented with a commitment to accuracy and high-quality work product.
• Ability to manage competing priorities, work independently, and multitask effectively within a fast-paced environment.
• Advanced proficiency in Microsoft Excel, PowerPoint, and Word.
• Demonstrates professionalism and the highest standards of integrity.
• Strong attention to detail and organizational skills.
• Collaborative team player with the ability to work effectively across departments.
• Builds and maintains strong working relationships with both local and global colleagues.
• Effective communication skills with an emphasis on responsiveness, efficiency, and client service.