Compliance Associate

Millennium • Miami, FL

99d

About The Position

The Compliance Associate will be responsible for general trading surveillance reviews, focusing on potential market manipulation and insider trading. This includes monitoring daily surveillance reports using exception reports and other tools, reviewing trade alerts, and escalating findings as needed. The role also involves undertaking special compliance-related projects as assigned and maintaining accurate, organized compliance books and records.

Requirements

• 5+ years of experience in compliance or related fields.
• Prior surveillance experience at a regulatory authority, bank/broker, or buy-side firm is ideal.
• Specific experience in equity or futures market is preferred.
• Bachelor’s degree in Finance, Economics, or a similar field is preferred.
• Series 7 or 3 certification is a plus.
• Strong communication and analytical skills.
• Creative problem-solving abilities.
• Ability to manage multiple tasks simultaneously.
• Strong attention to detail with a solid sense for discretionary escalation.
• Ability to identify complex problems and evaluate options based on related information.
• Highly motivated self-starter with flexibility to work under pressure and meet deadlines.
• Team player with enthusiasm for trading markets.
• Advanced proficiency in Excel, particularly in working with large data sets.

Nice To Haves

• Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus.
• Familiarity with creating and maintaining metrics reporting dashboards to track compliance activities and performance.

Responsibilities

• Conduct general trading surveillance reviews with a focus on potential market manipulation and insider trading.
• Monitor daily surveillance reports using exception reports and other tools.
• Review trade alerts and escalate findings as needed.
• Undertake special compliance-related projects as assigned.
• Maintain accurate and organized compliance books and records.

What This Job Offers

• Education Level: Bachelor's degree