Compliance Analyst - Control Room
Meet the Team
The Compliance Department at Millennium is responsible for adopting, implementing and enforcing a comprehensive compliance program across the firm. This includes policies and procedures, processes, systems, controls, surveillance, testing and reporting designed to help prevent and detect violations of applicable laws, rules, regulatory requirements and firm policies. The team partners closely with stakeholders across the business to support a strong culture of compliance in a dynamic global environment.
What You'll Do
• Support the firm's control room program, including management of the wall crossing process across public and private investment opportunities
• Review and help manage the handling of sensitive information, partnering closely with management and trading teams throughout the investment process
• Lead management of the firm's Restricted List, including ongoing monitoring, enforcement and coordination of related control enhancements
• Partner with internal teams to improve Restricted List functionality and its interaction with trading applications
• Lead broker compliance activities, including initial due diligence and ongoing surveillance
• Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading
• Work closely with business, legal and compliance teams to provide practical guidance on compliance matters
• Prepare and deliver compliance training, support regulatory examinations and investigations, draft and update policies and procedures, monitor regulatory developments, and lead special projects across stakeholder groups
What You Bring
• 2+ 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
• Experience in a control room environment, including wall crosses, broker due diligence or related compliance coverage
• 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 organizational skills and a clear sense of ownership
• Clear written and verbal communication skills, with the ability to work independently and manage multiple priorities in a fast-paced environment
• Strong analytical and problem-solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets
Salary Range
Millennium offers a total compensation package which includes a base salary, discretionary performance bonus, and comprehensive benefits. The 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. When finalizing 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.
