Compliance Analyst

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

Job summary

A leading firm in New York is seeking a Compliance Analyst to support its global Quantitative Trading Compliance program. The role involves monitoring regulatory changes, assisting with compliance training, and drafting policies. Ideal candidates will have a strong background in finance or computer science and excellent analytical skills.

Qualifications

• 3+ years of experience in compliance or regulatory roles.
• Experience with algorithmic trading matters preferred.

Responsibilities

• Assist with the administration of the global Quantitative Trading Compliance program.
• Monitor regulatory changes and conduct ongoing analyses.

Skills

Analytical Skills

Problem Solving

Communication

Teamwork

Education

Bachelor’s degree in Computer Science

Bachelor’s degree in Finance

Bachelor’s degree in Economics

Tools

Microsoft PowerPoint

Microsoft Excel

Job description

Compliance Analyst

Position Details

• Assist with the administration of the Firm’s global Quantitative Trading Compliance program, including the initial vetting and ongoing review of portfolio management teams against the Firm’s Algorithmic Trading Policy
• Monitor regulatory changes, updates and industry-wide compliance initiatives, and conduct ongoing analyses to enhance Firm’s global Quantitative Trading Compliance program
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary
• Assist with drafting and amending compliance related policies and procedures
• Prepare and conduct compliance trainings

Qualifications/Skills Required

• 3+ years of experience
• Experience at a regulatory authority, bank/broker or buy-side firm
• Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms
• Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
• An understanding of global financial markets, including market structure, is preferred
• General understanding of Artificial Intelligence, including current regulatory focus areas
• Strong analytical / conceptual problem-solving skills with attention to detail
• Strong sense of ownership and personal responsibility
• Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
• Strong written and verbal communication skills
• Ability to create presentation materials for senior management
• Proficient in Microsoft PowerPoint and Excel
• Good team player with a strong willingness to participate and help others

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.