We are seeking a Compliance Analyst to assist with the administration of our global Quantitative Trading Compliance program. This includes monitoring regulatory changes, conducting analyses to enhance our program, and assisting with regulatory examinations and compliance trainings.
\nResponsibilities: Assist with the initial vetting and ongoing review of portfolio management teams against our Algorithmic Trading Policy Monitor regulatory changes, updates and industry-wide compliance initiatives Conduct ongoing analyses to enhance our global Quantitative Trading Compliance program Assist with regulatory examinations, inquiries, investigations and projects Assist with drafting and amending compliance related policies and procedures Prepare and conduct compliance trainings
\nQualifications: 3+ years of experience Experience at a regulatory authority, bank/broker or buy-side firm Experience with addressing algorithmic/systematic trading matters is preferred Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred An understanding of global financial markets, including market structure, is preferred General understanding of Artificial Intelligence, including current regulatory focus areas Strong analytical / conceptual problem-solving skills with attention to detail Strong sense of ownership and personal responsibility Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments Strong written and verbal communication skills Ability to create presentation materials for senior management Proficient in Microsoft PowerPoint and Excel Good team player with a strong willingness to participate and help others
\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.
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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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