Senior Compliance Officer
Senior Compliance Officer
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Salary Not Disclosed
1 Vacancy
Job Description
Position Overview
We are seeking a highly skilled and experienced Senior Compliance Officer to join our dynamic compliance team to support the growth a highly valued portfolio management team focused on the health care sector. The ideal candidate will grow with this team and should possess extensive expertise leading the development and implementation of a compliance program that mitigates regulatory issues within the hedge fund business while fostering innovation and growth within the business. This role is pivotal in ensuring the operations of adhere to regulatory requirements conducting thorough internal investigations and developing robust compliance programs. The Senior Compliance Officer will collaborate closely with the portfolio management team the global compliance team and other departments to uphold the highest standards of compliance and integrity.
Key Responsibilities
- Compliance Advisory: Provide expert advisory services to the portfolio managers ensuring compliance across various markets.
- Regulatory Guidance: Offer comprehensive advice on a wide range of compliance and regulatory issues pertinent to a health care focused hedge fund.
- Strategy Monitoring: Oversee trading strategies to ensure they align with regulatory requirements.
- Internal Investigations: Conduct detailed internal investigations into compliancerelated matters identifying and mitigating risks.
- Program Development: Review enhance audit and maintain compliance programs to meet evolving regulatory standards.
- Policy Formulation: Develop and implement policies and procedures that reflect changes in business practices regulations and emerging issues.
- Audit Preparation: Prepare for and respond to inquiries and audits from regulatory authorities ensuring thorough documentation and compliance.
- Governance Administration: Administer governance functions and maintain accurate books and records.
- Industry Awareness: Stay abreast of recent compliance regulatory and legal issues trends and upcoming developments in the financial sector.
- CrossDepartment Collaboration: Work closely with the global compliance team and other departments to ensure cohesive compliance practices.
- Legal Liaison: Coordinate with local counsel on regulatory or legal issues specific to the markets we operate in.
- Project Management: Handle additional projects as needed to support the compliance function and drive continuous improvement.
Qualifications and Skills
- Extensive Compliance Experience: Proven track record in supporting complex equities businesses with a minimum of 15 years of experience in compliance or regulatory roles within hedge funds.
- Independent DecisionMaking: Ability to work autonomously to implement the Firms compliance program while also ensuring cohesive policy implementation across our global organization.
- Relationship Building: Strong interpersonal skills to build and maintain relationships with Portfolio Management and broader Compliance Teams both domestically and internationally.
- Regulatory Expertise: Deep understanding of financial regulations and standards with experience in handling regulatory inquiries and investigations.
- Detail Orientation: Meticulous attention to detail with a strong focus on accuracy and compliance.
- Team Collaboration: Excellent team player capable of prioritizing tasks in a fastpaced highpressure constantly evolving environment.
- Entrepreneurial Mindset: Ability to work within a small team acting as a project manager to drive initiatives forward.
- Analytical Skills: Strong analytical and problemsolving abilities to identify and address compliance issues effectively.
- Technological Proficiency: Comfortable with various technology applications relevant to compliance.
- Industry Knowledge: Broad product and industry knowledge in the financial sector is advantageous.
- Communication Skills: Exceptional writing skills to draft clear and concise compliance documentation.
The estimated base salary range for this position is $160000 to $250000 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 individuals experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
Required Experience:
Senior IC
Employment Type
Full-Time
