The Compliance Department at Millennium is responsible for adopting, implementing, and administering a comprehensive compliance program, including policies and procedures, processes, systems, controls, surveillance, testing, and reporting, designed to prevent, detect, and address violations of applicable laws, rules, regulations, and Firm policies.

Day-to-day, the Compliance Officer will be instrumental in managing the Firm's responses to formal inquiries, examinations, and reviews from regulatory authorities and self-regulatory organisations applicable to Millennium's business, including the SEC, CFTC, NFA, CME, and other brokers, exchanges or regulators.

Your primary focus will be serving as the central coordination point for regulatory matters affecting Millennium's registered investment adviser and commodity pool operator businesses. You will act as the primary liaison between the Firm and regulators, oversee document productions and written responses, coordinate internal reviews and investigations, and partner closely with Legal, Risk, Operations, Finance, and business stakeholders to ensure timely, accurate, and well-supported regulatory submissions.

Ideal candidates should have experience working in compliance, regulatory examinations, investigations, or enforcement response within an SEC-registered investment adviser, commodity pool operator, hedge fund, or other highly regulated financial institution.

Responsibilities

• Assist in managing the Firm's responses to regulatory inquiries, examinations, reviews, and requests from the SEC, CFTC, NFA, CME, and other applicable brokers, regulators, exchanges, and self-regulatory organisations.

• Serve as a primary liaison between the Firm and regulators, coordinating communications, tracking requests, and ensuring timely and accurate submissions.

• Coordinate internal investigations and fact-finding reviews in response to regulatory inquiries, potential compliance issues, and other escalated matters.

• Gather, review, and organise materials for regulatory productions, including policies and procedures, trading records, communications, surveillance results, marketing materials, books and records, and other supporting documentation.

• Draft and assist in drafting regulatory responses, correspondence, chronologies, briefing materials, and other written submissions.

• Partner with Legal, Risk, Operations, Finance, Technology, and business personnel to assess issues, collect information, and develop appropriate responses and remediation plans.

• Support onsite and remote examinations, including preparation of document productions, interview coordination, meeting logistics, and follow-up requests.

• Track regulatory deadlines, information requests, examination findings, and remediation items to ensure prompt escalation and completion.

• Analyse examination findings, deficiency letters, and investigative requests and assist in developing corrective actions, enhancements to controls, and other risk-mitigating measures.

• Help maintain policies, procedures, and internal protocols related to regulatory engagement, examination readiness, escalation, and recordkeeping.

• Advise relevant stakeholders on regulatory expectations, examination preparedness, and best practices for managing regulatory interactions.

• Maintain accurate and organised books and records relating to regulatory inquiries, examinations, investigations, and related compliance matters.

• Undertake special compliance-related projects and other responsibilities as assigned.

Qualifications/Skills Required

• Bachelor's degree in Finance, Economics, Accounting, Business, or a related field is preferred, with a strong academic record.

• 5+ years of relevant experience in compliance, legal/compliance investigations, regulatory examinations, or enforcement response at an SEC-registered investment adviser, commodity pool operator, hedge fund, broker-dealer, FCM, or similar financial institution.

• Experience managing or supporting responses to regulatory inquiries, examinations, or investigations involving the SEC, CFTC, NFA, CME, or other relevant regulators and exchanges.

• Strong knowledge of the U.S. regulatory framework applicable to investment advisers, private funds, commodity pools, and derivatives trading activity.

• Familiarity with regulatory expectations relating to books and records, supervision, communications, trading activity, policies and procedures, and control frameworks.

• Exceptional written, analytical, and research skills, with the ability to synthesise complex information and prepare clear, concise, and well-supported regulatory responses.

• Strong attention to detail, organisation, and effective communication skills, both verbal and written.

• Ability to work effectively and independently with all levels of management and staff across multiple functions.

• Ability to manage several matters simultaneously and perform effectively under pressure in a fast-paced environment.

• Sound judgment, professionalism, and discretion in handling highly sensitive and confidential matters.

• Proficient to advanced computer skills including MS Outlook, Word, Excel, and PowerPoint; experience with compliance, document management, and e-discovery tools is a plus.

Preferred Qualifications

• Prior experience acting as a direct point of contact with regulators during examinations or investigations.

• Familiarity with hedge fund trading strategies, private fund structures, and operational processes across investment management businesses.

• Experience supporting remediation efforts, issue management, and enhancements to compliance controls arising from regulatory findings.

• Industry licenses or certifications are a plus.

Experience Level: senior Employment Type: full-time Workplace Type: onsite Category: Finance Industry: Finance Salary Range: $70,000 to $160,000 Salary Min: 70000 Salary Max: 160000 Salary Currency: USD Salary Period: year Required Skills:

• Compliance
• Regulatory examinations
• Investigations
• Enforcement response
• Document production
• Written responses
• Internal reviews
• Investigations
• Regulatory submissions
• Legal
• Risk
• Operations
• Finance
• Business
• Stakeholder management
• Communication
• Organisation
• Attention to detail
• Time management
• Pressure management
• Discretion
• Confidentiality
• Computer skills

Preferred Skills:

• Direct point of contact with regulators
• Hedge fund trading strategies
• Private fund structures
• Operational processes
• Remediation efforts
• Issue management
• Compliance controls

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Experience in leading law enforcement response operations, managing global teams, and optimizing workflows is essential. You will ensure accurate, efficient processing while mentoring and promoting accountability and innovation.

Responsibilities:

• Lead complex projects that impact organisational performance, aligning with priorities to set goals and optimise results.

• Maintain knowledge of regulations, policies, and procedures; speak to regulatory bodies or auditors on workflows and operations.

• Strengthen the team via hiring, development plans, and growth opportunities.

• Adapt to high-demand changes, delegate effectively, stay calm under pressure, and motivate the team.

• Assess team needs in a dynamic legal landscape, emphasising user protection, transparency, policy development, scaling, and distributed collaboration via electronic tools.

• Communicate with internal stakeholders like Safety Leadership and Counsel on operations; update team on company changes.

• Analyze team performance with data visualisations and feedback; drive global QA strategy and consistency.

• Propose process improvements based on trends, owning segments for operational efficiency.

• Support sensitive escalations, answer policy questions, interpret metrics, and improve processes cross-functionally.

• Join on-call rotations for emergencies, addressing sensitive content (e.g., exploitation, violence) maturely.

• You may represent the company externally, such as in witness testimony or law enforcement interactions.

• Drive AI Automation: Collaborate with product engineering and data science teams to implement AI-based tools for case management, optimising workflows and reducing manual workloads.

Basic Qualifications:

• MA/MS Degree or equivalent in business, criminal justice, political science, law, international relations, or related field.

• 10+ years in law enforcement response, trust and safety, compliance, or legal background.

• 5+ years managing people, including global/distributed teams.

• Fluent in written and spoken English; excellent judgment, strategic thinking, and detail-orientation.

• Experience with legal request processing, scaling operations, and policy development.

• Exceptional communication, writing, and analytical skills; passion for privacy and expression.

• Perseverance, grit; ability to work through ambiguity.

• Availability to be on-call, including over weekends.

• Skilled in systems, software (e.g., Google Suite, data tools); must pass background check

Preferred Skills and Experience:

• 8-10+ years in Safety/Legal Operations at tech/social media company.

• An active X user with a deep understanding of the platform’s role as a global public square and its Safety challenges.

• Able to work onsite in Bastrop and travel as needed to collaborate with global teams.

ITAR Requirements:

• To conform to U.S. Government export regulations, applicant must be a (i) U.S. citizen or national, (ii) U.S. lawful, permanent resident (aka green card holder), (iii) Refugee under 8 U.S.C. § 1157, or (iv) Asylee under 8 U.S.C. § 1158, or be eligible to obtain the required authorisations from the U.S. Department of State. Learn more about the ITAR here.

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