Senior Compliance Officer - Surveillance & Transaction Reporting.

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

Job summary

A leading company in the financial sector is seeking a Senior Compliance Officer to oversee the EMEA Surveillance and Transaction Reporting Compliance program. The role requires managing compliance teams, ensuring adherence to regulations, and collaborating with various departments, all while being in a fast-paced environment.

Qualifications

• Over 10 years of experience in Compliance or relevant fields.
• Experience leading or managing teams.
• Strong regulatory knowledge of EMEA markets.

Responsibilities

• Manage the EMEA Surveillance and Transaction Reporting Compliance Team.
• Ensure compliance with MiFID II and other regulatory requirements.
• Prepare compliance reports and presentations.

Skills

Leadership

Regulatory Knowledge

Analytical Skills

Interpersonal Skills

Teamwork

Multitasking

Tools

MS PowerPoint

Excel VBA Macros

Tableau

Job description

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

The Compliance Department at Millennium develops and manages the compliance program, including policies, procedures, processes, systems, controls, surveillance, testing, and reporting to prevent or detect violations of laws, rules, regulations, and firm policies.

This senior role oversees Millennium’s EMEA Surveillance and Transaction Reporting Compliance program, reporting to the Deputy Head of Compliance, EMEA. It involves daily operational tasks, policy development, and project work in a dynamic environment. The role requires multitasking, teamwork, independence, and communication across all levels of the firm.

• Manage the EMEA Surveillance and Transaction Reporting Compliance Team
• Oversee compliance of EMEA algorithmic trading, including the implementation of Millennium’s global algorithmic compliance program
• Ensure compliance with MiFID II, EU short sale, and other regulatory reporting requirements
• Supervise the European compliance surveillance program, including Nasdaq SMARTS
• Support regulatory examinations, internal investigations, inquiries, audits, and inspections
• Collaborate with trading and back-office departments
• Prepare compliance reports and presentations
• Assist with compliance testing and monitoring
• Maintain the firm’s compliance and record-keeping programs
• Contribute to risk assessments and special projects involving multiple stakeholders
• Stay updated on regulatory developments and develop new compliance initiatives
• Participate in working groups and other projects as needed

Qualifications/Skills Required

• Over 10 years of experience in Compliance or relevant fields
• Experience leading or managing teams
• Experience handling regulatory inquiries and interactions
• Strong regulatory knowledge of EMEA markets and compliance systems
• Experience with surveillance and transaction monitoring, analytical skills, and understanding trade workflows
• Broad knowledge of financial products and services
• Experience working with trading and infrastructure teams
• Excellent interpersonal skills
• Quick learner, detail-oriented, thorough, and responsible
• Ability to multitask and prioritize in a fast-paced environment
• Team player with a collaborative attitude
• Experience with MS PowerPoint, Excel VBA Macros, Tableau, or similar tools preferred