Compliance Analyst
The Firm is looking to recruit a Compliance Analyst who will be a member of the Compliance Department. The candidate will conductcommunicationreviews of trading groups and other compliance projects. Candidate will play a key role in making sure that thecommunicationmonitoring program is effective, scalable, and robust.
Principal Responsibilities
Performcommunication/email reviews of trading groups for internal investigations
Prepare weekly and monthly memos based on email surveillance review
Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues
Keep up to date with relevant regulatory changes
Other projects as needed
Qualifications/Skills Required
BA degree; 1 year+ experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.).
Experience in a compliance position at a RIA, Broker Dealeror Compliance consultantpreferred or a strong interest in compliance
Understanding of regulatory/self-regulatory agencies (e.g.,SEC,FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933
Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
Entrepreneurial inclination – ability to work alone and act as a project manager
Ability to work with other departments and build smooth working relationships
Strong writing, analytical and problem solving skills
Comfortable with different technology applications
Broad product and financial services industry knowledge a plus
The estimated base salary range for this position is $70,000to $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.