Personal Trading Analyst Compliance
Personal Trading Analyst Compliance
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Job Description
Role Overview
Millennium is hiring a Compliance Analyst to join a growing team in Bangalore to support the EMEA compliance function. The individual will assist with implementing the compliance framework with a primary focus on personal account dealing (PAD) controls and monitoring.
Global Compliance
Global Compliance manages the firms compliance regulatory and reputational risks through the implementation of a compliance programme designed to support adherence to applicable global laws rules and regulations.
Principal Responsibilities:
Assist in the maintenance of Millenniums compliance programme and records with a primary focus on Personal Account Dealing (PAD) policy and controls for EMEA.
Review of employee personal account dealing requests and queries in line with Millenniums policies and procedures.
Lead and find appropriate resolutions to internal PAD related queries.
Collect process and analyze large data sets in a timely manner including for example employee financial statements and internal metrics.
Maintain a detailed and organized workflow to ensure data entries are complete accurate and retained.
Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate.
Involvement in the maintenance of general compliance programme including electronic communication monitoring and surveillance as well as the Senior Managers and Certification Regime.
Collaborate and work closely with colleagues globally specifically those in Bangalore and EMEA.
Participate in working groups and lead on project deliverables as needed.
Qualifications/Skills:
Minimum bachelors degree.
Preferred 13 years of financial industry experience (preferably in compliance or other relevant roles).
Strong Microsoft Office (e.g. Word Excel and PowerPoint) skills
An understanding of financial markets and compliance risks.
Excellent communication skills and the ability to collaborate with team members across all levels globally.
Detail oriented organized and able to work independently.
Operates with a high degree of accuracy and efficiency.
Ability to multitask and manage competing deadlines.
Ability to adapt to new situations quickly learn and improve.
Hardworking with a commitment to maintain the highest ethical standards.
Required Experience:
IC
Employment Type
Full-Time
