Compliance Analyst Job at Millennium Management LLC
Compliance Analyst
Job Function Summary
The Firm is looking to recruit a Compliance Analyst who will be a member of the Compliance Department. The candidate will conduct email reviews of trading groups and other compliance projects. Candidate will play a key role in making sure that the email monitoring program is effective, scalable, and robust.
Principal Responsibilities
- Perform email reviews of trading groups for internal investigations
- Prepare weekly and monthly memos based on email surveillance review
- Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues
- Keep up to date with relevant regulatory changes
- Other projects as needed
Qualifications/Skills Required
- BA degree; 1-2 years’ experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.).
- Experience in a compliance position at a RIA or Broker Dealer preferred or a strong interest in compliance
- Understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933
- Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
- Entrepreneurial inclination – ability to work alone and act as a project manager
- Ability to work with other departments and build smooth working relationships
- Strong writing, analytical and problem solving skills
- Comfortable with different technology applications
- Broad product and financial services industry knowledge a plus
Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. 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. 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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