Senior Compliance Officer

Millennium Management; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A leading company seeks a Senior Compliance Officer to oversee their EMEA Surveillance and Transaction Reporting Compliance program. This role requires extensive experience in compliance, including regulatory background and the ability to manage a team effectively. The candidate will be responsible for overseeing compliance oversight and liaising with various departments, ensuring adherence to laws and regulations while actively participating in compliance initiatives.

Qualifications

• 10+ years of experience in Compliance or related fields.
• Experience in leading and managing a team.
• Strong background in EMEA regulatory processes.

Responsibilities

• Oversee EMEA Surveillance and Transaction Reporting Compliance Team.
• Lead regulatory examinations, inquiries, and audits.
• Prepare compliance reports and maintain compliance programs.

Skills

Regulatory background

Surveillance and transaction monitoring experience

Strong interpersonal skills

Analytical mindset

Detail oriented

Team player

Tools

MS PowerPoint

Excel VBA Macros

Tableau

Job description

Senior Compliance Officer

Job Description - Senior Compliance Officer (Surveillance and Transaction Reporting)

The Compliance Department at Millennium adopts, implements, and manages the compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is crafted to prevent or detect violations of applicable laws, rules and regulatory requirements and firm policies.

This senior position, overseeing Millennium’s EMEA Surveillance and Transaction Reporting Compliance program, reports to the Deputy Head of Compliance, EMEA. This role encompasses hands on day-to-day tasks as well as policy and project work in a dynamic and expanding firm. The role requires the ability to multi-task, work within a team as well as independently, and liaise with all levels of people across the Firm.

Principal Responsibilities

• Oversee and manage the EMEA Surveillance and Transaction Reporting Compliance Team
• Compliance oversight of EMEA-based algorithmic trading, including involvement in formulating and implementing Millennium’s global algorithmic compliance programme at the EMEA level
• Compliance oversight of MiFID II, EU short sale and other regulatory reporting
• Oversight of European compliance surveillance programme, including Nasdaq SMARTS
• Lead and provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
• Interact with all facets of the Firm’s trading and back-office departments
• Prepare compliance reports and presentations
• Assist with the Firm’s compliance testing and monitoring programme
• Assist in the maintenance of the Firm’s general compliance programme and record keeping
• Assist in the maintenance of the Firm’s Risk Assessments
• Undertake and lead special compliance related projects involving various inter-department stakeholders
• Keep up to date on, research and track compliance, regulatory, and legal issues, trends, and upcoming developments; develop new compliance initiatives
• Participate in working groups, projects and other work as needed

Qualifications/Skills Required

• 10+ years’ experience working in Compliance or other relevant experience
• Previous experience leading/managing a team
• Experience leading regulatory enquiries, reviews and interactions
• Strong regulatory background in EMEA markets with comprehensive understanding of, and experience working with, rules and regulations and compliance processes and systems
• Surveillance and transaction monitoring experience with a strong forensic, analytical mindset and a solid understanding of trade and surveillance workflow
• Broad product and financial services industry knowledge
• Experience in interacting with trading and core infrastructure groups
• Essential to have strong interpersonal skills
• Must be a quick learner, detail oriented; demonstrable thoroughness and strong ownership of work
• Able to multi-task and prioritise in a fast moving, high pressure, constantly changing environment; able to meet competing deadlines on a timely basis
• Team player with a strong willingness to participate and help others
• Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred