Compliance Officer

The Compliance Officer role at Millennium's Compliance Surveillance Program involves conducting trade surveillance reviews to identify potential market manipulation and insider trading activity.

Responsibilities:

• Conduct trade surveillance reviews with a focus on identifying potential market manipulation and insider trading activity
• Monitor daily surveillance reports using exception reports and other surveillance tools to identify potential issues
• Review trade alerts, assess findings, and escalate matters as appropriate
• Support special compliance projects and broader team initiatives as assigned
• Maintain accurate, complete, and well-organized compliance books and records
• Help develop and maintain metrics reporting dashboards to track compliance activity and performance

Requirements:

• 8+ years of surveillance or related compliance experience, ideally at a regulator, bank or broker, or buy-side firm
• Experience with options and/or futures markets preferred
• Strong analytical skills, sound judgment, and clear communication abilities
• High attention to detail with the ability to manage multiple priorities effectively
• Advanced Excel skills; experience with NTS, Actimize, or Tableau is a plus
• Familiarity with building and maintaining metrics reporting dashboards for compliance tracking and performance reporting
• Bachelor’s degree preferred; Series 7 or Series 3 is a plus

Salary Range: The estimated base salary range for this position is $160,000 to $250,000.