Compliance Analyst

Millennium•New York, NY

4d•$70,000 - $160,000

About The Position

The Compliance Department at Millennium is responsible for adopting, implementing and enforcing the Firm’s compliance program across policies, procedures, processes, systems, controls, surveillance, testing and reporting. The team works closely with stakeholders across the business to help prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies, while supporting a strong culture of professionalism, accountability and control.

Requirements

3+ years of experience in a financial services control function, ideally in hedge fund or private equity regulatory compliance, or in accounting, investor services, policy, audit or a similar process-driven environment
Bachelor’s degree from an accredited college or university with a strong academic record
Strong attention to detail and excellent organizational skills, with the ability to identify issues and respond promptly
Clear, professional verbal and written communication skills, with the confidence to work effectively with internal stakeholders at all levels
Ability to prioritize competing demands in a fast-paced, high-pressure and constantly evolving environment
Strong sense of urgency, accountability and ownership in day-to-day execution
Ability to learn new systems quickly and build working ownership of key compliance tools and processes
Sound judgment, discretion and a strong commitment to confidentiality and professionalism

Responsibilities

Support the Firm’s global compliance program, records and systems, including regulatory filings, examinations, investigations, inquiries, audits and inspections
Administer the Firm’s Code of Ethics and personal trading policies through compliance systems and tools
Partner with employees to collect required personal trading information and support trade monitoring in line with regulatory requirements
Manage key elements of the personal trading program, including disclosures, pre-approval requests and reconciliations
Coordinate the Firm’s compliance certification program and help drive timely completion
Prepare, deliver and track relevant compliance training activities across the Firm
Contribute to controls development and system enhancements that strengthen the overall compliance program
Support internal compliance projects, reporting and trend analysis, and take on additional compliance-related initiatives as needed