# Compliance Analyst

**Company**: Compliance Surveillance Program
**Location**: New York, New York
**Experience**: entry
**Job type**: full-time
**Salary**: $70,000 to $160,000
**Category**: Finance
**Industry**: Finance

**Apply**: https://mlp.eightfold.ai/careers/job/755958799896?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_e7661a19-c47

## Description

We are seeking a Compliance Analyst to join our team at Millennium, a global alternative investment firm. As a Compliance Analyst, you will play a critical role in supporting the Compliance Department's efforts to adopt, implement, and enforce a compliance program that includes policies and procedures, processes, systems, controls, surveillance, testing, and reporting.

Responsibilities:

- Conduct communications reviews for trading teams and perform targeted searches in support of internal investigations

- Prepare clear, well-structured weekly and monthly memoranda summarizing findings from email surveillance reviews

- Support the development and enhancement of compliance policies and procedures in response to business changes, regulatory developments, and emerging compliance risks

- Monitor relevant regulatory developments and help assess their impact on the Firm's compliance framework

- Contribute to the effectiveness, scalability, and robustness of the Firm's communications monitoring program

- Partner on a range of compliance-related projects across the department, as needed

Requirements:

- Bachelor's degree, preferably in Business, Finance, Economics, or a related field, with 1-2 years of relevant experience

- Prior experience conducting electronic communications reviews within a Registered Investment Adviser or broker-dealer preferred

- Strong understanding of applicable regulatory requirements, including SEC rules and other regulatory expectations

- Strong writing, analytical, and problem-solving skills, with the ability to produce clear and effective compliance documentation

- Ability to prioritize work and perform effectively in a fast-paced, high-pressure, and evolving environment

- Entrepreneurial and self-directed approach, with the ability to manage projects independently and deliver against commitments

- Strong interpersonal and collaboration skills, with the ability to build effective working relationships across departments

- Proficiency in Microsoft Excel, Word, and PowerPoint, with confidence using a range of technology tools and applications

Benefits:

- The estimated base salary range for this position is $70,000 to $160,000

- Comprehensive benefits package, including a base salary, discretionary performance bonus

## Skills

### Required
- Microsoft Excel
- Microsoft Word
- Microsoft PowerPoint
- analytical skills
- problem-solving skills
- writing skills

### Nice to have
- electronic communications reviews
- Registered Investment Adviser
- broker-dealer
- SEC rules

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Source: [Apply at mlp.eightfold.ai](https://mlp.eightfold.ai/careers/job/755958799896?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)