Compliance Analyst
Meet the Team
The Compliance Department at Millennium serves to adopt, implement, and enforce a compliance program that includes policies and procedures, processes, systems, controls, surveillance, testing, and reporting. In London, the team operates within a disciplined and well-controlled framework designed to help prevent and detect violations of applicable laws, rules, regulatory requirements, and Firm policies while supporting the evolving needs of the business.
What You'll Do
• Conduct communications reviews for trading teams and perform targeted searches in support of internal investigations
• Prepare clear, well-structured weekly and monthly memoranda summarizing findings from email surveillance reviews
• Support the development and enhancement of compliance policies and procedures in response to business changes, regulatory developments, and emerging compliance risks
• Monitor relevant regulatory developments and help assess their impact on the Firm's compliance framework
• Contribute to the effectiveness, scalability, and robustness of the Firm's communications monitoring program
• Partner on a range of compliance-related projects across the department, as needed
What You Bring
• Bachelor's degree, preferably in Business, Finance, Economics, or a related field, with 1-2 years of relevant experience
• Prior experience conducting electronic communications reviews within a Registered Investment Adviser or broker-dealer preferred
• Strong understanding of applicable regulatory requirements, including SEC rules and other regulatory expectations
• Strong writing, analytical, and problem-solving skills, with the ability to produce clear and effective compliance documentation
• Ability to prioritize work and perform effectively in a fast-paced, high-pressure, and evolving environment
• Entrepreneurial and self-directed approach, with the ability to manage projects independently and deliver against commitments
• Strong interpersonal and collaboration skills, with the ability to build effective working relationships across departments
• Proficiency in Microsoft Excel, Word, and PowerPoint, with confidence using a range of technology tools and applications
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.
