Compliance Analyst (Electronic Communication Surveillance)
Bengaluru, Karnataka, India · On-site
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Compliance Analyst (Electronic Communication Surveillance)
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Full-time
bachelor degree
Posted 26d ago
~40 hrs/week
Responsibilities
The role involves conducting communication reviews of trading groups and performing searches for internal investigations. The analyst will also prepare surveillance memos and assist in enhancing compliance policies and procedures.
Requirements
Candidates should have a bachelor's degree and at least 2 years of experience, preferably within an RIA or Broker-Dealer. Strong knowledge of regulatory agencies like SFC and MAS, as well as the Investment Advisers Act of 1940, is required.
Full job description
Compliance Analyst (Electronic Communication Surveillance)
The Firm is seeking a RegulatoryCompliance Analyst to join our Compliance Department in the Bangalore, India. The successful candidate will be responsible for conducting communications reviews (emails, slack, etc.) of trading groups and supporting various compliance projects. This role is critical to ensure the effectiveness, scalability, and robustness of the firm’s email monitoring program.
Key Responsibilities:
Conduct communication reviews for trading groups and perform searches related to internal investigations.
Prepare weekly and monthly memos summarizing findings from email surveillance reviews.
Assist in the development and enhancement of policies and procedures to reflect changes in business, regulations, and emerging compliance issues.
Stay up to date with relevant regulatory developments and changes.
Participate in other compliance-related projects as needed.
Qualifications and Skills:
Bachelor’s degree (preferably in Business, Finance, Economics, or a related field) with at least 2 years of experience.
Prior experience in a compliance role at a Registered Investment Adviser (RIA) or Broker-Dealer is preferred.
Strong understanding of regulatory and self-regulatory agencies (e.g., SFC, MAS and others) and familiarity with key regulations such as the Investment Advisers Act of 1940 and Securities Act of 1933.
Excellent team player with the ability to prioritize tasks in a fast-paced, high-pressure, and constantly evolving environment.
Entrepreneurial mindset with the ability to work independently and manage projects effectively.
Strong interpersonal skills with the ability to collaborate across departments and build effective working relationships.
Exceptional writing, analytical, and problem-solving skills.
Proficiency with various technological applications and tools.
Broad knowledge of financial products and the financial services industry is a plus.
Experience with Microsoft Excel, Word, and PowerPoint.
Related keywords
ComplianceElectronic Communication SurveillanceTrading GroupsSFCMASInvestment Advisers Act of 1940Securities Act of 1933RIABroker-DealerFinancial ServicesInternal InvestigationsRegulatory Compliance
Millennium is a global, diversified alternative investment firm, founded in 1989, which manages $92 billion in assets. Defined by evolution, innovation and focus, Millennium's mission is to deliver high-quality returns for our investors.
Millennium seeks to empower talented professionals with the sophisticated expertise, resources and technology to pursue a diverse range of investment strategies across industry sectors, asset classes and geographies.
See our community guidelines at: mlp.com/guidelines
Read our disclosures at: https://www.mlp.com/disclosures/
Offices: 399 Park Avenue, New York, NY 10022, US · Millennium Management LLC, 1700 East Putnam Avenue, Old Greenwich, CT 06870, US · Millennium Capital Partners, LLP, 50 Berkeley Street, 5th Floor, London, W1J 8HD, GB · Millennium Capital Management (Singapore) Pte. Ltd., 88 Market Street, Capita Spring #37-01, Singapore 048948, SG · 42 Rue du Rhone, Geneva, 1204, CH
FinanceImpact InvestingHedge FundsBusiness DevelopmentAsset ManagementFinancial ServicesVenture Capital
Millennium is a global, diversified alternative investment firm, founded in 1989, which manages $92 billion in assets. Defined by evolution, innovation and focus, Millennium's mission is to deliver high-quality returns for our investors.
Millennium seeks to empower talented professionals with the sophisticated expertise, resources and technology to pursue a diverse range of investment strategies across industry sectors, asset classes and geographies.
See our community guidelines at: mlp.com/guidelines
Read our disclosures at: https://www.mlp.com/disclosures/
Offices: 399 Park Avenue, New York, NY 10022, US · Millennium Management LLC, 1700 East Putnam Avenue, Old Greenwich, CT 06870, US · Millennium Capital Partners, LLP, 50 Berkeley Street, 5th Floor, London, W1J 8HD, GB · Millennium Capital Management (Singapore) Pte. Ltd., 88 Market Street, Capita Spring #37-01, Singapore 048948, SG · 42 Rue du Rhone, Geneva, 1204, CH
FinanceImpact InvestingHedge FundsBusiness DevelopmentAsset ManagementFinancial ServicesVenture Capital