Compliance Analyst

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