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About the Role
As a Compliance Analyst, you will provide high-level analysis and day-to-day support for the Firm’s compliance program. This role requires the ability to multitask, work independently and as part of a team, and communicate effectively. Confidentiality and professionalism are essential. We seek a sharp, dynamic individual who thrives in an evolving environment and is motivated to make an impact.
Responsibilities
- Assist in the Firm’s global compliance program, records, and systems, including regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections.
- Manage the Firm’s code of ethics/personal trading policies utilizing compliance software.
- Liaise with employees to ensure all necessary personal trading information is provided for trade monitoring in accordance with regulatory requirements.
- Work on the personal trading program, including personal trade disclosures, pre-approval requests, and reconciliation.
- Coordinate the Firm’s compliance certification program.
- Help with the preparation, delivery, and tracking of relevant compliance trainings.
- Facilitate the development of controls and system enhancements to improve the Firm’s compliance program.
- Aid with internal compliance projects, such as preparing metrics of department projects and trend analysis.
- Undertake ad-hoc compliance-related projects, as assigned.
Requirements
- 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.
- Strong attention to detail and organization skills.
- Ability to spot issues and respond timely.
- 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.
Skills
- Communication skills
- Organization skills
- Attention to detail
Experience Level
- 2+ years
Education Level
- Bachelor’s degree
About the Company
- 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.