Compliance Associate – Trade Surveillance

Compliance Associate – Trade Surveillance

Responsibilities

• General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
• Monitor daily surveillance reports using exception reports and other tools
• Review surveillance alerts, conduct analysis and escalate findings as needed
• Assist the investigation and handling of the inadvertent receipt of material non-public information (MNPI)..
• Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
• Draft and amend compliance related policies and procedures
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Undertake and lead special compliance related projects involving various inter-department stakeholders

Qualifications

• Bachelor’s degree in Finance, Economics or a related field is preferred, with a strong academic record
• 3+ years of experience; prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal
• Experience in the securities and trading industry preferred
• Knowledge of US financial markets preferred
• Previous experience working with third-party surveillance platforms
• Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis
• Strong attention to detail, organization, and effective communication skills, both verbal and written
• Ability to work effectively and independently with all levels of management and staff
• Candidate must have strong communication, analytical skills and a desire to learn
• Ability to handle several tasks simultaneously
• Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options
• Must be a phenomenal teammate, able to work with others, enthusiasm for trading markets
• Proficient to advanced computer skills including Bloomberg, MS Outlook, Word, Excel and PowerPoint

Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. 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. 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.