Compliance Analyst

Millennium; New York (NY); On-site; USD 70,000 - 160,000; Full time

Job summary

Join a leading firm as a Compliance Analyst in New York, where you will support the compliance program involving regulatory filings and personal trading management. This role requires a proactive individual with a Bachelor's degree and at least a year of related experience, excellent communication skills, and a strong attention to detail.

Qualifications

• 1+ years’ experience in financial services control functions.
• Strong attention to detail and organizational skills.
• Outstanding verbal and written communication skills.

Responsibilities

• Assist in the Firm’s global compliance program.
• Manage the Firm’s code of ethics/personal trading policies.
• Work on personal trade disclosures and compliance training.

Skills

Attention to detail

Time management

Communication

Education

Bachelor’s degree

Job description

Join to apply for the Compliance Analyst role at Millennium

Join to apply for the Compliance Analyst role at Millennium

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 inspections
• Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
• Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements
• Work on the personal trading program including personal trade disclosures, pre-approval requests and reconciliation
• Coordinate the Firm’s compliance certification program
• Help with preparation, delivery, and tracking of relevant compliance trainings
• Facilitate the development of controls and system enhancements to improve the Firm’s compliance program
• Aid with the internal compliance projects, such as preparing metrics of department projects and trend analysis
• Undertake 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 services
• Bachelor’s degree from an accredited university or college with a strong academic record
• Strong attention to detail and organization skills, possess the ability to spot issues, and respond timely
• Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
• Ability to prioritize in a fast paced, high pressure, constantly evolving environment with high urgency and ownership
• Ability 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.

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Investment Management

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