# Compliance Associate - Experts & Research

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

**Apply**: https://mlp.eightfold.ai/careers/job/755957913140?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_ec4194eb-fd7

## Description

The Compliance Associate - Experts & Research role is part of the Compliance Department at Millennium. The team is responsible for adopting, implementing, and enforcing a comprehensive compliance program across the firm.

## Responsibilities

- Support the administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts

- Support the administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers

- Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading

- Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters

- Prepare and deliver compliance training to support awareness and adherence to firm requirements

- Assist with regulatory examinations, inquiries, investigations, and related compliance projects as needed

- Draft, review, and update compliance-related policies and procedures

- Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross-functional stakeholders

## Requirements

- 3-5+ 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

- Direct experience in research compliance or expert compliance

- 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 organisational skills, and a clear sense of ownership

- Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment

- Strong analytical and problem-solving skills, a collaborative mindset, and proficiency in Excel, including work with large data sets

## Benefits

The estimated base salary range for this position is $70,000 to $160,000. Millennium offers a total compensation package which includes a base salary, discretionary performance bonus, and comprehensive benefits.

## Skills

### Required
- due diligence
- surveillance
- compliance
- research compliance
- expert compliance
- trading surveillance
- regulatory examinations
- policy drafting
- Excel

### Nice to have
- FINRA SIE
- Series 7
- Series 3
- IACCP
- Law degree

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Source: [Apply at mlp.eightfold.ai](https://mlp.eightfold.ai/careers/job/755957913140?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)