Compliance Analyst - Control Room

The Compliance Analyst - Control Room role at Millennium involves supporting the firm's control room program, managing the wall crossing process, reviewing sensitive information, and leading management of the firm's Restricted List.

Responsibilities:

• Support the firm's control room program, including management of the wall crossing process across public and private investment opportunities
• Review and help manage the handling of sensitive information, partnering closely with management and trading teams throughout the investment process
• Lead management of the firm's Restricted List, including ongoing monitoring, enforcement and coordination of related control enhancements
• Partner with internal teams to improve Restricted List functionality and its interaction with trading applications
• Lead broker compliance activities, including initial due diligence and ongoing surveillance
• Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading
• Work closely with business, legal and compliance teams to provide practical guidance on compliance matters
• Prepare and deliver compliance training, support regulatory examinations and investigations, draft and update policies and procedures, monitor regulatory developments, and lead special projects across stakeholder groups

Requirements:

• 2+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm
• Experience in a control room environment, including wall crosses, broker due diligence or related compliance coverage
• Bachelor's degree in Finance, Economics or a related field preferred
• Law degree preferred but not required
• FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus
• Strong attention to detail, sound organizational skills and a clear sense of ownership
• Clear written and verbal communication skills, with the ability to work independently and manage multiple priorities in a fast-paced environment
• Strong analytical and problem-solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets