Compliance Analyst

The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies.

As 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 program. 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. If you are a sharp, dynamic individual who thrives in an ever-evolving environment and is motivated to make an impact, we would love to hear from you.

Responsibilities

Assist in the Firm’s global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspectionsManage the Firm’s code of ethics/personal trading policies utilizing compliance softwareLiaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirementsWork on the personal trading program including personal trade disclosures, pre-approval requests and reconciliationCoordinate the Firm’s compliance certification programHelp with preparation, delivery, and tracking of relevant compliance trainingsFacilitate the development of controls and system enhancements to improve the Firm’s compliance programAid with the internal compliance projects, such as preparing metrics of department projects and trend analysisUndertake ad-hoc compliance-related projects, as assigned

Qualifications

1+ 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 servicesBachelor’s degree from an accredited university or college with a strong academic recordStrong attention to detail and organization skills, possess the ability to spot issues, and respond timelyOutstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levelsAbility to prioritize in a fast paced, high pressure, constantly evolving environment with high urgency and ownershipAbility to learn and develop ownership of systems

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. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. 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.