Compliance Associate

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

Job summary

An established industry player is seeking a Compliance Associate to enhance their Global Compliance Program. This dynamic role involves drafting compliance policies, conducting regulatory research, and providing essential training to employees. You will collaborate with global compliance teams, manage regulatory filings, and lead special compliance projects. The ideal candidate will possess strong analytical and communication skills, along with a proactive approach to problem-solving. Join a fast-paced environment where your contributions will significantly impact compliance initiatives and the overall success of the firm.

Qualifications

• 5+ years of compliance experience in a global financial institution.
• Strong communication and analytical skills are essential.
• Experience with regulatory agencies and compliance initiatives.

Responsibilities

• Assist in implementing the Global Compliance Program.
• Draft compliance policies and procedures.
• Provide training to employees on compliance matters.

Skills

Compliance experience

Analytical skills

Problem-solving skills

Communication skills

Project management

Detail-oriented

Knowledge of regulatory agencies

Ability to multitask

Education

Bachelor’s degree

JD (Juris Doctor)

Tools

MS PowerPoint

Excel VBA Macros

Tableau

Data analytics tools

Job description

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• Assist in implementing the Global Compliance Program
• Drafting compliance policies and procedures
• Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
• Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters
• Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials
• Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary
• Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX)
• Undertake and lead special compliance related projects involving various inter-department stakeholders
• Conduct reviews as part of the Firm’s overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
• Organize and administer the Firm’s committee governance program and documentation
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Review and analyze reports generated by the Firm’s surveillance systems
• Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
  
  

Responsibilities

• Assist in implementing the Global Compliance Program
• Drafting compliance policies and procedures
• Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
• Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters
• Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials
• Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary
• Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX)
• Undertake and lead special compliance related projects involving various inter-department stakeholders
• Conduct reviews as part of the Firm’s overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
• Organize and administer the Firm’s committee governance program and documentation
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Review and analyze reports generated by the Firm’s surveillance systems
• Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
  
  

Qualifications

• Bachelor’s degree from an accredited university or college with a strong academic record; JD is a plus
• 5+ years of experience in compliance experience, including at a global financial institution, asset manager or regulator
• Superior verbal and written communication, as well as analytical and problem solving skills
• Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred
• Detail oriented; critical thinker, demonstrates thoroughness and strong ownership of work
• Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager
• Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast moving, high pressure, constantly changing environment; strong sense of urgency
• Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred
• Good team player with a strong willingness to participate and help others
• Experience in a compliance position at a registered investment advisor preferred
• Broad product and financial services industry knowledge
  
  

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

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  Investment Management

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