Compliance Analyst
About The Position
Compliance Analyst Principal Responsibilities Perform email reviews of trading groups for internal investigations Prepare weekly and monthly memos based on email surveillance review Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues Keep up to date with relevant regulatory changes Other projects as needed Qualifications/Skills Required BA degree; 1-2 years’ experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.). Experience in a compliance position at a RIA or Broker Dealer preferred or a strong interest in compliance Understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment Entrepreneurial inclination – ability to work alone and act as a project manager Ability to work with other departments and build smooth working relationships Strong writing, analytical and problem solving skills Comfortable with different technology applications Broad product and financial services industry knowledge a plus The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
Requirements
- BA degree; 1-2 years’ experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.).
- Experience in a compliance position at a RIA or Broker Dealer preferred or a strong interest in compliance
- Understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933
- Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
- Entrepreneurial inclination – ability to work alone and act as a project manager
- Ability to work with other departments and build smooth working relationships
- Strong writing, analytical and problem solving skills
- Comfortable with different technology applications
Nice To Haves
- Broad product and financial services industry knowledge a plus
Responsibilities
- Perform email reviews of trading groups for internal investigations
- Prepare weekly and monthly memos based on email surveillance review
- Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues
- Keep up to date with relevant regulatory changes
- Other projects as needed
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Number of Employees
501-1,000 employees
