Compliance Analyst (Personal Account Dealing)

Compliance Analyst (Personal Account Dealing)

Millennium Management is a global investment management firm founded in 1989 that manages approximately $74 billion in assets. Millennium has more than 2,300 employees with offices in the United States, Europe and Asia. Over the last 25+ years, our mission has remained constant: to deliver the alternative investment industry’s highest quality returns to our investors, and to maintain a commitment to our principles of integrity, discipline and excellence.
 
Responsibilities:

• Assist in the maintenance of Millennium’s compliance program and records with a primary focus on Personal Account Dealing (PAD) policy and controls.
• Review of employee personal account dealing requests and queries in line with Millennium’s policies and procedures.
•  Lead and find appropriate resolutions to internal PAD related queries.
• Collect, process and analyze large data sets in a timely manner, including, for example, employee financial statements and internal metrics.
• Maintain a detailed and organized workflow to ensure data entries are complete, accurate and retained.
• Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate.
•  Involvement in the maintenance of general compliance program including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime.
• Collaborate and work closely with colleagues globally.
• Participate in working groups and lead on project deliverables as needed.
   

Qualifications/Skills:

• Bachelor’s degree in finance, Economics or a related field is preferred, with a strong academic record.
• Preferred 3+ years of financial industry experience (preferably in similar role in Compliance)
• Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills.
• An understanding of financial markets and compliance risks.
• Excellent communication skills and the ability to collaborate with team members across all levels globally.
• Detail oriented, organized, and able to work independently.
• Operates with a high degree of accuracy and efficiency.
• Ability to multi-task and manage competing deadlines.
• Ability to adapt to new situations quickly, learn and improve.
•  Hardworking with a commitment to maintain the highest ethical standards.