Compliance Analyst

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.

As a Compliance Analyst on our team, you will have the opportunity to provide both high-level analysis and day-to-day support in connection with the Firms compliance program. The role demands an ability to multi-task, work within a team as well as independently, and communicate effectively with business groups. It requires an individual who understands the necessity for confidentiality and professionalism at all times. If you are a sharp, dynamic individual who thrives in an ever-evolving environment and is motivated to make an impact, we would love to hear from you.

Responsibilities

• Assist in the Firms global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections
• Manage the Firms 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 Firms compliance certification program
• Help with preparation, delivery, and tracking of relevant compliance trainings
• Facilitate the development of controls and system enhancements to improve the Firms 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

Qualifications

• 2+ 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
• Bachelors 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