Compliance Analyst

About This Role

This Compliance Analyst role offers the chance to provide high-level analysis and day-to-day support for the firm's compliance program. The position suits a sharp, dynamic individual who thrives in an evolving environment and is motivated to make an impact, while demonstrating the ability to multi-task, work independently and as part of a team, and communicate effectively.

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 to the firm to enable 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 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
• Bachelor’s degree from an accredited university or college with a strong academic record
• Strong attention to detail and organization skills, possess the ability to spot issues, and respond timely
• Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
• 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

About the Company

The Compliance Department at Millennium adopts, implements, and enforces 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.