Description
The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies.
As a Compliance Analyst on our team, you will have the opportunity to provide both high-level analysis and day-to-day support in connection with the Firm's compliance programme. The role demands an ability to multi-task, work within a team as well as independently, and communicate effectively with business groups. It requires an individual who understands the necessity for confidentiality and professionalism at all times.
Responsibilities:
Assist in the Firm's global compliance programme, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections Manage the Firm's code of ethics/personal trading policies utilising compliance software Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements Work on the personal trading programme including personal trade disclosures, pre-approval requests and reconciliation Coordinate the Firm's compliance certification programme Help with preparation, delivery, and tracking of relevant compliance trainings Facilitate the development of controls and system enhancements to improve the Firm's compliance programme Aid with the internal compliance projects, such as preparing metrics of department projects and trend analysis Undertake ad-hoc compliance-related projects, as assigned
Qualifications:
1+ years' experience in financial services control functions, ideally Hedge Fund and Private Equity regulatory compliance experience or accounting, investor services, policy, audit or similar process-driven and detail-oriented experience in financial services Bachelor's degree from an accredited university or college with a strong academic record Strong attention to detail and organisation skills, possess the ability to spot issues, and respond timely Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels Ability to prioritise in a fast-paced, high-pressure, constantly evolving environment with high urgency and ownership Ability to learn and develop ownership of systems
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalising an offer, we take into consideration an individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.