Private Equity Compliance Professionals

Private Equity Compliance Professionals Monitor Business

Private equity firms must comply with a variety of U.S. federal laws and regulations, as well as with the rules of self-regulatory organizations. These laws, rules, and regulations pertain to a private equity (PE) firm’s valuation practices, existing compliance programs, regulatory filing obligations, and cybersecurity preparedness, among many other issues. Compliance professionals implement and manage compliance monitoring and reporting programs at private equity firms and their portfolio companies. Only a small number of compliance professionals work in private equity, but many more are employed in other industries such as pharmaceuticals, energy, and banking. 

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Quick Facts
Alternate Title(s) Chief Compliance Officers, Compliance Analysts, Compliance Directors, Compliance Officers, Senior Compliance Analysts
Duties Implement and manage compliance monitoring programs at private equity firms and their portfolio companies
Salary Range $50,000 to $100,000+
Work Environment Primarily Indoors
Best Geographical Location(s) New York, Boston, Houston, Dallas, Chicago, San Francisco, and other cities with large financial sectors
Minimum Education Level
  • Bachelor's Degree
School Subjects
  • Business
  • Economics
  • Mathematics
Experience Five to 10 years of experience within an asset management environment for top-level compliance positions; previous work, internship, or co-op in an asset management environment for analysts
Personality Traits
  • Hands On
  • Problem-Solving
  • Realistic
Skills
  • Business Management
  • Financial
  • Math
Certification or Licensing Recommended
Special Requirements None
Employment Prospects Good
Advancement Prospects Fair
Outlook Faster than the Average
Career Ladder
  • Chief Compliance Officer
  • Compliance Director
  • Compliance Officer
  • Senior Compliance Analyst
  • Compliance Analyst

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