Senior Compliance Officer - Surveillance & Transaction Reporting

Millennium Management LLC; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

A leading financial firm is seeking a Senior Compliance Officer to oversee compliance programs related to surveillance and transaction reporting in EMEA. This role includes day-to-day management, oversight of regulatory requirements, and leading a team in a dynamic environment. The ideal candidate will have a strong regulatory background, excellent analytical skills, and a proven ability to multitask in a fast-paced setting.

Qualifications

• 10+ years of experience in Compliance or relevant fields.
• Experience leading regulatory inquiries and managing teams.
• Strong knowledge of EMEA compliance regulations.

Responsibilities

• Oversee and manage EMEA Surveillance and Transaction Reporting Compliance Team.
• Ensure compliance with MiFID II and EU short sale regulations.
• Lead regulatory examinations and internal audits.

Skills

Regulatory background

Analytical mindset

Interpersonal skills

Tools

MS PowerPoint

Excel VBA Macros

Tableau

Job description

Senior Compliance Officer - Surveillance & Transaction Reporting

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

The Compliance Department at Millennium adopts, implements, and manages the compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is crafted to prevent or detect violations of applicable laws, rules and regulatory requirements and firm policies.

This senior position, overseeing Millennium’s EMEA Surveillance and Transaction Reporting Compliance program, reports to the Deputy Head of Compliance, EMEA. This role encompasses hands on day-to-day tasks as well as policy and project work in a dynamic and expanding firm. The role requires the ability to multi-task, work within a team as well as independently, and liaise with all levels of people across the Firm.

Principal Responsibilities

• Oversee and manage the EMEA Surveillance and Transaction Reporting Compliance Team
• Compliance oversight of EMEA-based algorithmic trading, including involvement in formulating and implementing Millennium’s global algorithmic compliance programme at the EMEA level
• Compliance oversight of MiFID II, EU short sale and other regulatory reporting
• Oversight of European compliance surveillance programme, including Nasdaq SMARTS
• Lead and provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
• Interact with all facets of the Firm’s trading and back-office departments
• Prepare compliance reports and presentations
• Assist with the Firm’s compliance testing and monitoring programme
• Assist in the maintenance of the Firm’s general compliance programme and record keeping
• Assist in the maintenance of the Firm’s Risk Assessments
• Undertake and lead special compliance related projects involving various inter-department stakeholders
• Keep up to date on, research and track compliance, regulatory, and legal issues, trends, and upcoming developments; develop new compliance initiatives
• Participate in working groups, projects and other work as needed

Qualifications/Skills Required

• 10+ years’ experience working in Compliance or other relevant experience
• Previous experience leading/managing a team
• Experience leading regulatory enquiries, reviews and interactions
• Strong regulatory background in EMEA markets with comprehensive understanding of, and experience working with, rules and regulations and compliance processes and systems
• Surveillance and transaction monitoring experience with a strong forensic, analytical mindset and a solid understanding of trade and surveillance workflow
• Broad product and financial services industry knowledge
• Experience in interacting with trading and core infrastructure groups
• Essential to have strong interpersonal skills
• Must be a quick learner, detail oriented; demonstrable thoroughness and strong ownership of work
• Able to multi-task and prioritise in a fast moving, high pressure, constantly changing environment; able to meet competing deadlines on a timely basis
• Team player with a strong willingness to participate and help others
• Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred