Full Time
I'm Interested

Job Type

Full Time

Job Details

Senior Compliance Officer - MNPI

This role will provide senior Compliance coverage in relation to handling of material non-public information as it pertains to firm trading, with a focus on distressed credit, CMBS and wall crossings.  Operating in close partnership with the existing Compliance and Legal teams globally, relevant Business Management teams, and the various Portfolio Managers.

Principal Responsibilities

  • Provide Compliance coverage on MNPI issues as they directly relate to firm trading.
    • Reviewing documentation,
    • Chaperoning calls
    • Updating policies and procedures
    • Reviewing barriers
  • Keep local Senior Management constantly appraised of the overall compliance landscape and exposures within the distressed credit, CMBS and wall cross business
  • Provide Compliance coverage for relevant regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
  • Track relevant regulatory developments
  • Participate in working groups and projects as needed
  • Provide support reviewing disclosures and personal trading pre-approval requests
  • Provide support with regulatory reporting as required
  • Periodic regional travel may be required

Qualifications/Skills Required

  • 10+ years Compliance/Legal background and law degree/advanced degree is preferred but not required
  • Strong knowledge of MNPI issues across business lines
  • Strong knowledge and experience of Compliance monitoring and surveillance
  • Comprehensive understanding of and experience working with the rules and regulations and compliance processes and systems
  • Quick learner, Detail oriented; Demonstrable thoroughness and strong ownership of work.
  • Good team player with a strong willingness to participate and help others.
  • Able to prioritize in a fast moving, high pressure, constantly changing environment; High sense of urgency
  • Strong communication skills

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 $160,000 to $250,000, 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.

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Senior Compliance Officer - MNPI
I'm Interested