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Full-time
bachelor degree
Posted 1d ago
~40 hrs/week
Responsibilities
The Compliance Analyst will conduct communications reviews and internal investigations while supporting the development of compliance policies and procedures. They will also monitor regulatory developments and contribute to the firm's email monitoring program.
Requirements
Candidates should have a bachelor's degree in a relevant field and 1-2 years of experience, preferably in compliance at a financial firm. Strong analytical, writing, and interpersonal skills are required, along with knowledge of FCA and SEC regulatory expectations.
Full job description
Compliance Analyst
About Millennium Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors.
Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time. Discover how transformative growth accelerates impact.
Meet the Team The Compliance Department at Millennium serves to adopt, implement and enforce a compliance program that includes policies and procedures, processes, systems, controls, surveillance, testing and reporting. In London, the team operates within a disciplined and well-controlled framework designed to help prevent and detect violations of applicable laws, rules, regulatory requirements and firm policies, while supporting the evolving needs of the business.
What You'll Do • Conduct communications reviews for trading teams and perform targeted searches in support of internal investigations • Prepare clear, well-structured weekly and monthly memos summarizing findings from email surveillance reviews • Support the development and enhancement of compliance policies and procedures to reflect business changes, regulatory developments and emerging compliance risks • Monitor relevant regulatory developments and help assess their impact on the firm’s compliance framework • Contribute to the effectiveness, scalability and robustness of the firm’s email monitoring program • Partner on a range of compliance-related projects as needed across the department
What You Bring • Bachelor’s degree, preferably in Business, Finance, Economics or a related field, with 1–2 years of relevant experience • Prior compliance experience conducting electronic communications reviews at a Registered Investment Adviser or Broker-Dealer preferred • Strong understanding of applicable regulatory requirements, including FCA and SEC rules and expectations • Strong writing, analytical and problem-solving skills, with the ability to produce clear and effective compliance documentation • Ability to prioritize work and perform effectively in a fast-paced, high-pressure and evolving environment • Entrepreneurial, self-directed approach, with the ability to manage projects independently and follow through on deliverables • Strong interpersonal and collaboration skills, with the ability to build effective working relationships across departments • Proficiency with Microsoft Excel, Word and PowerPoint, along with confidence using a range of technology tools and applications
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