Compliance Associate

Millennium Management • Miami, FL

80d

About The Position

The Compliance Associate will play a crucial role in implementing the Global Compliance Program. This position involves drafting compliance policies and procedures, conducting research on compliance and regulatory issues, and developing new compliance initiatives. The associate will interact with business and global compliance teams to provide advice and guidance on compliance matters, as well as provide training to employees during induction and annual compliance trainings. Additionally, the role includes assisting with regulatory examinations, inquiries, investigations, and internal audits, as well as preparing and submitting regulatory filings such as Form ADV, 13H, and N-PX. The associate will also lead special compliance-related projects and conduct reviews as part of the Firm's overall compliance program, ensuring adherence to the Investment Advisers Act Rule 206(4)-7. Furthermore, the role requires organizing and administering the Firm's committee governance program and monitoring regulatory changes and industry-wide compliance initiatives.

Requirements

• Bachelor's degree from an accredited university or college with a strong academic record; JD is a plus
• 5+ years of compliance experience, including at a global financial institution, asset manager or regulator
• Superior verbal and written communication, analytical and problem-solving skills
• Experience with Form ADV; understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred
• Detail-oriented; critical thinker, demonstrates thoroughness and strong ownership of work
• Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager
• Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast-moving, high-pressure, constantly changing environment; strong sense of urgency
• Experience with technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, and other relevant data analytics tools preferred
• Good team player with a strong willingness to participate and help others
• Experience in a compliance position at a registered investment advisor preferred
• Broad product and financial services industry knowledge

Responsibilities

• Assist in implementing the Global Compliance Program
• Draft compliance policies and procedures
• Conduct research on compliance and regulatory issues; develop new compliance initiatives
• Interact with business and global compliance teams to provide advice and guidance on compliance matters
• Provide training to employees during induction, annual and ad hoc compliance trainings, including preparation and updating of materials
• Assist with regulatory examinations, inquiries, investigations, internal audits and projects as necessary
• Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX)
• Lead special compliance-related projects involving various inter-department stakeholders
• Conduct reviews as part of the Firm's overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
• Organize and administer the Firm's committee governance program and documentation
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Review and analyze reports generated by the Firm's surveillance systems
• Improve internal compliance reports by identifying/closing potential gaps, automating workflows/processes

What This Job Offers

• Career Level: Mid Level
• Industry: Real Estate
• Education Level: Bachelor's degree