34346 Compliance experience Jobs

With more than 3,500 employees, our firm harnesses the entrepreneurial drive of our people. We seek to attract, develop and retain the best talent in the industry. We offer an opportunity to develop your career by working with a leadership team that has years of industry experience across a variety of disciplines. We encourage our team to work together in a collegial and collaborative team-based environment. We empower them to act like owners by making decisions based on a combination of rigorous analysis and an open, creative mentality. This enables us to continuously improve our day-to-day activities, and ultimately the Firm as a whole.

• Assist in the Firm’s global compliance program, records, and systems, which include 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
• Coordinate the personal trading program including personal trade disclosures, pre-approval requests and reconciliation
• Coordinate the Firm’s compliance certification program
• Assist in the preparation, delivery, and tracking of relevant compliance trainings
• Assist in the development of controls and system enhancements to improve the Firm’s compliance program
• Assist with the internal compliance projects, such as preparing metrics of department projects and trend analysis
• Undertake ad-hoc compliance-related projects, as assigned

• 1-3 years’ experience in financial services back-office functions, ideally Hedge Fund and Private Equity regulatory compliance experience, although will consider 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
• Must have outstanding 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 work on tasks independently and escalate issues as they arise
• Ability to pivot between work comfortably and navigate ambiguous or “gray” areas and learn skills
• Ability to get up to speed quickly on problems, shift gears and prioritize multiple topics and timelines concurrently
• Good team player with a willingness to participate and help others as well as able to work independently
• Ability to prioritize in a fast paced, high pressure, constantly evolving environment; strong sense of urgency and ownership
• Ability to learn and develop ownership of systems
• Strong Microsoft Word, PowerPoint and Excel skills

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.