Compliance Risk Manager

1 day ago

New York, New York, United States Millennium Management Corp Full time
Compliance Analyst Job Description

The Compliance Department at Millennium Management Corp 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.

Key Responsibilities:
  • Assist in the Firm's global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections
  • Manage the Firm's 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
  • Coordinate the Firm's compliance certification program
  • Help with preparation, delivery, and tracking of relevant compliance trainings
  • Facilitate the development of controls and system enhancements to improve the Firm's compliance program
  • Aid with the internal compliance projects, such as preparing metrics of department projects and trend analysis
  • Undertake ad-hoc compliance-related projects, as assigned
Requirements:
  • 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 process-driven and detail-oriented experience in financial services
  • Bachelor's 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

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 Management Corp 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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