We are seeking a Compliance Analyst (Personal Account Dealing) to join our team. This role will assist in the maintenance of our compliance program and records with a primary focus on Personal Account Dealing (PAD) policy and controls.
\nResponsibilities: Assist in the maintenance of our compliance program and records with a primary focus on PAD policy and controls. Review of employee personal account dealing requests and queries in line with our policies and procedures. Lead and find appropriate resolutions to internal PAD related queries. Collect, process and analyse large data sets in a timely manner, including employee financial statements and internal metrics. Maintain a detailed and organised workflow to ensure data entries are complete, accurate and retained. Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate. Involvement in the maintenance of general compliance program including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime. Collaborate and work closely with colleagues globally. Participate in working groups and lead on project deliverables as needed.
\nQualifications/Skills: Bachelor's degree in finance, economics or a related field is preferred, with a strong academic record. Preferred 3+ years of financial industry experience (preferably in similar role in Compliance). Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills. An understanding of financial markets and compliance risks. Excellent communication skills and the ability to collaborate with team members across all levels globally. Detail oriented, organised, and able to work independently. Operates with a high degree of accuracy and efficiency. Ability to multi-task and manage competing deadlines. Ability to adapt to new situations quickly, learn and improve. Hardworking with a commitment to maintain the highest ethical standards.
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\nAs a Compliance Analyst on our team, you will have the opportunity to provide both high-level analysis and day-to-day support in connection with the Firm's compliance programme. The role demands an ability to multi-task, work within a team as well as independently, and communicate effectively with business groups. It requires an individual who understands the necessity for confidentiality and professionalism at all times.
\nResponsibilities:
\nAssist in the Firm's global compliance programme, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections Manage the Firm's code of ethics/personal trading policies utilising compliance software Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements Work on the personal trading programme including personal trade disclosures, pre-approval requests and reconciliation Coordinate the Firm's compliance certification programme Help with preparation, delivery, and tracking of relevant compliance trainings Facilitate the development of controls and system enhancements to improve the Firm's compliance programme Aid with the internal compliance projects, such as preparing metrics of department projects and trend analysis Undertake ad-hoc compliance-related projects, as assigned
\nQualifications:
\n1+ years' experience in financial services control functions, ideally Hedge Fund and Private Equity regulatory compliance experience or accounting, investor services, policy, audit or similar process-driven and detail-oriented experience in financial services Bachelor's degree from an accredited university or college with a strong academic record Strong attention to detail and organisation skills, possess the ability to spot issues, and respond timely Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels Ability to prioritise in a fast-paced, high-pressure, constantly evolving environment with high urgency and ownership Ability to learn and develop ownership of systems
\nThe estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalising an offer, we take into consideration an individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
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