Senior Compliance Officer

Millennium Management • Old Greenwich, CT

79d

About The Position

The Senior Compliance Officer will provide ongoing compliance support to WorldQuant Millennium Advisors ("WMA"). This role involves conducting ongoing compliance reviews for WMA, assisting with transitional and structuring matters related to the expansion of WMA, and supporting the launches of new WMA funds and separately managed accounts ("SMAs"). The officer will monitor regulatory changes, updates, and industry-wide compliance initiatives, assist with regulatory examinations, inquiries, investigations, and projects as necessary, and help draft and amend compliance-related policies and procedures. Additionally, the officer will prepare and conduct compliance trainings.

Requirements

• 12+ years of experience
• Experience at a regulatory authority, bank/broker or buy-side firm
• Investment Management Compliance experience, inclusive of addressing regulatory items related to SMAs and Funds
• Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms
• Bachelor's degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
• An understanding of global financial markets, including market structure, is preferred
• Strong analytical / conceptual problem-solving skills with attention to detail
• Strong sense of ownership and personal responsibility
• Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
• Strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments
• Ability to create presentation materials for senior management
• Good team player with a strong willingness to participate and help others

Responsibilities

• Provide ongoing compliance support to WorldQuant Millennium Advisors ("WMA")
• Conduct ongoing WMA compliance reviews
• Assist with transitional and structuring matters related to the expansion of WMA
• Assist with the launches of new WMA funds and separately managed accounts ("SMAs")
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary
• Assist with drafting and amending compliance related policies and procedures
• Prepare and conduct compliance trainings

What This Job Offers

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