Compliance Associate - Experts & Research

Millennium•New York, NY

6d•$70,000 - $160,000•Remote

About The Position

The Compliance Department at Millennium is responsible for adopting, implementing and enforcing a comprehensive compliance program across the firm. This includes policies and procedures, processes, systems, controls, surveillance, testing and reporting designed to help prevent and detect violations of applicable laws, rules, regulatory requirements and firm policies. The team partners closely with stakeholders across the business to support a strong culture of compliance in a dynamic global environment.

Requirements

3-5+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm
Direct experience in research compliance or expert compliance
Bachelor’s degree in Finance, Economics or a related field preferred
Law degree preferred but not required
FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus
Strong attention to detail, sound organizational skills and a clear sense of ownership
Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment
Strong analytical and problem-solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets

Nice To Haves

Law degree preferred but not required
FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus

Responsibilities

Support the administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts
Support the administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers
Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading
Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters
Prepare and deliver compliance training to support awareness and adherence to firm requirements
Assist with regulatory examinations, inquiries, investigations and related compliance projects as needed
Draft, review and update compliance-related policies and procedures
Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross-functional stakeholders