Compliance Associate - Experts & Research

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

Job summary

Millennium is seeking a compliance professional for a role focusing on expert and research compliance, due diligence, and surveillance within a global investment firm. You will partner with cross‑functional teams to ensure adherence to regulatory requirements and policies.

The role emphasizes training, policy development, and monitoring regulatory developments. Qualified candidates have 3-5+ years in related compliance, a finance/economics background, and strong analytical and communication

Qualifications

• 3-5+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm
• Direct experience in research compliance or expert compliance
• Bachelor’s degree in Finance, Economics or a related field preferred
• Law degree preferred but not required
• FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus
• Strong attention to detail, sound organizational skills and a clear sense of ownership
• Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment
• Strong analytical and problem‑solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets

Responsibilities

• Support the administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts
• Support the administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers
• Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading
• Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters
• Prepare and deliver compliance training to support awareness and adherence to firm requirements
• Assist with regulatory examinations, inquiries, investigations and related compliance projects as needed
• Draft, review and update compliance‑related policies and procedures
• Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross‑functional stakeholders

Skills

Due diligence

Surveillance

Regulatory compliance

Attention to detail

Analytical thinking

Communication

Excel

Education

Bachelor’s degree in Finance, Economics or related field

Law degree preferred

FINRA SIE/Series 7/Series 3 or IACCP designation

Tools

Excel

Job description

About Millennium

Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors.

About Millennium

Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors.

Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time. Discover how transformative growth accelerates impact.

Meet the Team

The Compliance Department at Millennium is responsible for adopting, implementing and enforcing a comprehensive compliance program across the firm. This includes policies and procedures, processes, systems, controls, surveillance, testing and reporting designed to help prevent and detect violations of applicable laws, rules, regulatory requirements and firm policies. The team partners closely with stakeholders across the business to support a strong culture of compliance in a dynamic global environment.

What You’ll Do

• Support the administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts
• Support the administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers
• Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading
• Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters
• Prepare and deliver compliance training to support awareness and adherence to firm requirements
• Assist with regulatory examinations, inquiries, investigations and related compliance projects as needed
• Draft, review and update compliance‑related policies and procedures
• Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross‑functional stakeholders

What You Bring

• 3-5+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm
• Direct experience in research compliance or expert compliance
• Bachelor’s degree in Finance, Economics or a related field preferred
• Law degree preferred but not required
• FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus
• Strong attention to detail, sound organizational skills and a clear sense of ownership
• Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment
• Strong analytical and problem‑solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets

Salary Range

Millennium offers a total compensation package which includes a base salary, discretionary performance bonus, and comprehensive benefits. 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. 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.