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About the Role

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.

Responsibilities

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

Requirements

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

Skills

Writing
Analytical
Problem-solving
Microsoft Excel
Microsoft Word
Microsoft PowerPoint

Location

London

Work Type

Full-time

Experience Level

1-2 years

Education Level

Bachelor's degree

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.