Trade Surveillance Analyst Compliance
Trade Surveillance Analyst Compliance
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Job Description
Who We Are
Millennium Management is a global investment management firm founded in 1989 that manages approximately $74 billion in assets. Millennium has more than 2300 employees with offices in the United States Europe and Asia. Over the last 25 years our mission has remained constant: to deliver the alternative investment industrys highest quality returns to our investors and to maintain a commitment to our principles of integrity discipline and excellence.
Responsibilities
General electronic communications and trading surveillance reviews
including focus on potential insider trading and market manipulation.Monitor daily surveillance reports using exception reports and other tools.
Review surveillance alerts conduct analysis and escalate findings as needed.
Assist the investigation and handling of the inadvertent receipt of material nonpublic information (MNPI).
Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
Assist with regulatory examinations inquiries investigations and projects as necessary.
Draft and amend compliance related policies and procedures.
Monitor regulatory changes updates and industrywide compliance initiatives.
Undertake and lead special compliance related projects involving various
interdepartment stakeholders.
Qualifications
Bachelors degree in finance Economics or a related field is preferred with a strong academic record.
3 years of experience; prior surveillance or related experience at regulatory authority bank/broker or buyside firm is ideal.
Experience in the securities and trading industry preferred.
Knowledge of US financial markets preferred.
Previous experience working with thirdparty surveillance platforms.
Exceptional written analytical and research skills and the ability to apply both quantitative and qualitative analysis.
Strong attention to detail organization and effective communication skills both verbal and written.
Ability to work effectively and independently with all levels of management and staff.
Candidate must have strong communication analytical skills and a desire to learn.
Ability to handle several tasks simultaneously.
Attention to detail and the ability to identify complex problems review related information to develop and evaluate options.
Must be a phenomenal teammate able to work with others enthusiasm for trading markets.
Proficient to advanced computer skills including Bloomberg MS Outlook Word Excel and PowerPoint.
Required Experience:
IC
Employment Type
Full-Time
