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About the Role

The Compliance Department at Millennium is responsible for adopting, implementing, and enforcing a comprehensive compliance program across the firm. This includes policies, procedures, processes, systems, controls, surveillance, testing, and reporting designed to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies. The team partners closely with stakeholders across the business to support a strong culture of compliance in a dynamic global environment.

Responsibilities

Support the administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts.
Support the administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers.
Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading.
Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters.
Prepare and deliver compliance training to support awareness and adherence to firm requirements.
Assist with regulatory examinations, inquiries, investigations, and related compliance projects as needed.
Draft, review, and update compliance-related policies and procedures.
Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross-functional stakeholders.

Requirements

3-5+ years of relevant experience, ideally in due diligence, surveillance, or a related compliance function at a regulatory authority, bank, broker-dealer, or buy-side firm.
Direct experience in research compliance or expert compliance.
Strong attention to detail, sound organizational skills, and a clear sense of ownership.
Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment.
Strong analytical and problem-solving skills, a collaborative mindset, and proficiency in Excel, including work with large data sets.

Skills

Excel
Due diligence
Surveillance
Research compliance
Expert compliance
Market manipulation
Insider trading
Regulatory examinations
Policy drafting
Policy review
Policy updating
Regulatory developments monitoring
Compliance training delivery

Location

New York

Work Type

Full-time

Experience Level

3-5+ years

Education Level

Bachelor’s degree in Finance, Economics or a related field preferred
Law degree preferred but not required

Salary/Compensations

$70,000 to $160,000

Benefits

Discretionary performance bonus
Comprehensive benefits

About the Company

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.