Compliance Analyst
Compliance Analyst
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Job Description
The Compliance Department at Millennium serves to adopt implement and enforce a Compliance program including policies and procedures processes systems controls surveillance testing and reporting which is designed to prevent or detect violations of applicable laws rules and regulatory requirements and Firm policies.
As a Compliance Analyst on our team you will have the opportunity to provide both highlevel analysis and daytoday support in connection with the Firms compliance program. The role demands an ability to multitask work within a team as well as independently and communicate effectively with business groups. It requires an individual who understands the necessity for confidentiality and professionalism at all times. If you are a sharp dynamic individual who thrives in an everevolving environment and is motivated to make an impact we would love to hear from you.
Responsibilities
- Assist in the Firms global compliance program records and systems which include regulatory filings examinations investigations regulatory inquiries audits and inspections
- Manage the Firms code of ethics/personal trading policies utilizing compliance software
- Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements
- Work on the personal trading program including personal trade disclosures preapproval requests and reconciliation
- Coordinate the Firms compliance certification program
- Help with preparation delivery and tracking of relevant compliance trainings
- Facilitate the development of controls and system enhancements to improve the Firms compliance program
- Aid with the internal compliance projects such as preparing metrics of department projects and trend analysis
- Undertake adhoc compliancerelated projects as assigned
Qualifications
- 1 years experience in financial services control functions ideally Hedge Fund and Private Equity regulatory compliance experience or accounting investor services policy audit or similar processdriven and detailoriented experience in financial services
- Bachelors degree from an accredited university or college with a strong academic record
- Strong attention to detail and organization skills possess the ability to spot issues and respond timely
- Outstanding verbal and written communication skills with poise and confidence to interact with internal clients at all levels
- Ability to prioritize in a fast paced high pressure constantly evolving environment with high urgency and ownership
- Ability to learn and develop ownership of systems
Required Experience:
IC
Employment Type
Full-Time
