Compliance Analyst
Millennium•New York, NY
•$70,000 - $160,000
About The Position
The Compliance Department at Millennium serves to adopt, implement, and enforce a compliance program that includes policies and procedures, processes, systems, controls, surveillance, testing, and reporting. In London, the team operates within a disciplined and well-controlled framework designed to help prevent and detect violations of applicable laws, rules, regulatory requirements, and Firm policies while supporting the evolving needs of the business.
Requirements
- Bachelor’s degree, preferably in Business, Finance, Economics, or a related field, with 1–2 years of relevant experience
- Strong understanding of applicable regulatory requirements, including SEC rules and other regulatory expectations
- Strong writing, analytical, and problem-solving skills, with the ability to produce clear and effective compliance documentation
- Ability to prioritize work and perform effectively in a fast-paced, high-pressure, and evolving environment
- Entrepreneurial and self-directed approach, with the ability to manage projects independently and deliver against commitments
- Strong interpersonal and collaboration skills, with the ability to build effective working relationships across departments
- Proficiency in Microsoft Excel, Word, and PowerPoint, with confidence using a range of technology tools and applications
Nice To Haves
- Prior experience conducting electronic communications reviews within a Registered Investment Adviser or broker-dealer preferred
Responsibilities
- Conduct communications reviews for trading teams and perform targeted searches in support of internal investigations
- Prepare clear, well-structured weekly and monthly memoranda summarizing findings from email surveillance reviews
- Support the development and enhancement of compliance policies and procedures in response to business changes, regulatory developments, and emerging compliance risks
- Monitor relevant regulatory developments and help assess their impact on the Firm’s compliance framework
- Contribute to the effectiveness, scalability, and robustness of the Firm’s communications monitoring program
- Partner on a range of compliance-related projects across the department, as needed
Benefits
- base salary
- discretionary performance bonus
- comprehensive benefits
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
