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:
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Assist in the maintenance of Millennium’s compliance program and records with a primary focus on Personal Account Dealing (PAD) policy and controls.
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Review of employee personal account dealing requests and queries in line with Millennium’s policies and procedures.
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Lead and find appropriate resolutions to internal PAD related queries.
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Collect, process and analyze large data sets in a timely manner, including, for example, employee financial statements and internal metrics.
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Maintain a detailed and organized workflow to ensure data entries are complete, accurate and retained.
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Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate.
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Involvement in the maintenance of general compliance program including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime.
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Collaborate and work closely with colleagues globally.
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Participate in working groups and lead on project deliverables as needed.
Qualifications/Skills:
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Bachelor’s degree in finance, Economics or a related field is preferred, with a strong academic record.
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Preferred 3+ years of financial industry experience (preferably in similar role in Compliance)
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Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills.
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An understanding of financial markets and compliance risks.
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Excellent communication skills and the ability to collaborate with team members across all levels globally.
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Detail oriented, organized, and able to work independently.
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Operates with a high degree of accuracy and efficiency.
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Ability to multi-task and manage competing deadlines.
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Ability to adapt to new situations quickly, learn and improve.
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Hardworking with a commitment to maintain the highest ethical standards.
