Compliance Associate - Experts & Research

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.