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Research Compliance Associate

Responsibilities

• Administer the Firm’s research compliance program including the initial due diligence and ongoing surveillance of third-party research providers.
• Administer the Firm’s data compliance program including the initial due diligence and ongoing surveillance of third party alternative data providers and internal web-scraping activities.
• Assist the investigation and handling of the receipt of improper information including but not limited to material non-public information (MNPI) and personal identifiable information (PII).
• General trading surveillance reviews, including focus on potential market manipulation and insider trading
• Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
• Prepare and conduct compliance trainings.
• 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

• 3-5+ years of experience. Prior due diligence, surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal. Specifically looking for experience within research, data or control room compliance.
• Bachelor’s degree in Finance, Economics or similar is preferred.
• FINRA SIE, Series 7 or 3 licenses, or IACCP designation are a plus.
• Must be very detail oriented and organized, and able to work independently when necessary
• Good communication skills quick learner, detail oriented; demonstrable thoroughness and strong ownership
• Must be able to multi-task and manage competing deadlines of work
• Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options;
• Good team player with a strong willingness to participate and help others
• Proficiency in Excel (working with large data sets)

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.