The Firm is seeking a Compliance Analyst to join our Compliance Department in New York City. The successful candidate will be responsible for conducting communications reviews (emails, slack, etc.) of trading groups and supporting various compliance projects. This role is critical to ensure the effectiveness, scalability, and robustness of the firm’s email monitoring program.
Key Responsibilities:
- Conduct communication reviews for trading groups and perform searches related to internal investigations.
- Prepare weekly and monthly memos summarizing findings from email surveillance reviews.
- Assist in the development and enhancement of policies and procedures to reflect changes in business, regulations, and emerging compliance issues.
- Stay up to date with relevant regulatory developments and changes.
- Participate in other compliance-related projects as needed.
Qualifications and Skills:
- Bachelor’s degree (preferably in Business, Finance, Economics, or a related field) with at least 2 years of experience.
- Prior experience in a compliance role at a Registered Investment Adviser (RIA) or Broker-Dealer is preferred.
- Strong understanding of regulatory and self-regulatory agencies (e.g., SEC, CFTC, FINRA and others) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933.
- Excellent team player with the ability to prioritize tasks in a fast-paced, high-pressure, and constantly evolving environment.
- Entrepreneurial mindset with the ability to work independently and manage projects effectively.
- Strong interpersonal skills with the ability to collaborate across departments and build effective working relationships.
- Exceptional writing, analytical, and problem-solving skills.
- Proficiency with various technological applications and tools.
- Broad knowledge of financial products and the financial services industry is a plus.
- Experience with Microsoft Excel, Word, and PowerPoint.
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.