Compliance Analyst

2 weeks ago

New York, United States Millennium Management Corp Full time

Compliance Analyst

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.

We are seeking a highly skilled and motivated Compliance Analyst to join our team. The ideal candidate will have a strong technical background, excellent data sorting skills, and experience in coordinating training programs. This role will involve ensuring our company adheres to legal standards and in-house policies, while also playing a significant role in enhancing the efficiency of our operations.

Responsibilities

  • Assist in the global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections
  • Identify workflow enhancements and collect, interpret, and analyze large datasets to optimize data quality
  • Coordinate and manage training programs to enhance employee's understanding of data management and other relevant skills
  • Manage the 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, pre-approval requests and reconciliation
  • Work in a cross functional capacity with the technology team to implement and maintain compliance related processes
Qualifications
  • Bachelor's degree 1+ years' experience in financial services as a Compliance Analyst, Data Analyst, Training Coordinator, or a similar role, with a strong understanding of data quality concepts and methodologies
  • Experience in planning, implementing, and overseeing training programs
  • Ability to organize, manage, and manage a large amount of data using Excel, VBA Macros, or SQL
  • 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
  • Comfortable working with new technology, and eager to learn and optimize existing compliance procedures


The estimated base salary range for this position is $70,000 to $160,000, 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 individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.

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