10000 Line management Jobs

Compliance Officer – Wall Cross & Research

This role will provide senior Compliance coverage in relation to handling and preventing the use of material non-public information during the investment decision-making process, with a focus on the due diligence and ongoing surveillance of relationships with research providers, brokers, data providers and/or index providers.  Operating in close partnership with the existing Compliance and Legal teams globally, relevant Business Management teams, and the various Portfolio Managers.

Responsibilities

• Lead the Firm’s control room program including the management of the Firm’s wall crossing process including the review of public and private investment deals, handling of sensitive information, interacting with the equity management team and other business line management teams.
• Lead the management and implementation of the Firm’s Restricted List including the ongoing monitoring and enforcement of the relevant restrictions. In addition, work with various internal teams to drive enhancements to the functionality of the Restricted List and its capabilities interacting with trading applications.
• Lead the Firm’s research compliance programs including the initial due diligence and ongoing surveillance of the Firm’s third-party research providers.
• Conduct investigations of the inadvertent 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

• 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 control room, research or data compliance.
• Bachelor’s degree in Finance, Economics or similar is preferred.
• Law degree is desirable, but not required.
• 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)

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.