The Compliance Officer - Externals Advisory role is part of the Compliance Department at Millennium, a global alternative investment firm. You will provide primary Compliance advisory coverage to the Externals Advisory team across EMEA, supporting due diligence, onboarding and ongoing oversight of external managers.
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\nWe are seeking a Compliance Associate to join our team at Millennium, a global alternative investment firm. The successful candidate will be part of the Compliance Department, which is responsible for implementing and enforcing a compliance program to prevent or detect violations of applicable laws, rules, and regulatory requirements.
\nThe Compliance Associate will review and investigate trade surveillance alerts, conduct alert triage, case analysis, escalation, and closure, and build investigation timelines using trading, order, market, and other relevant data. They will also escalate potentially suspicious activity to senior Compliance, Legal, or other stakeholders, as appropriate, and support the preparation of internal case summaries, management information, and regulatory reporting.
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\nThe Compliance Analyst role at Millennium involves conducting trade surveillance reviews to identify potential market manipulation and insider trading activity.
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\nThe Compliance Officer role at Millennium's Compliance Surveillance Program involves conducting trade surveillance reviews to identify potential market manipulation and insider trading activity.
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\nSalary Range: The estimated base salary range for this position is $160,000 to $250,000.
","enriched_at":1782518853613},{"id":"job_805591d1-bfd","title":"Compliance Associate","source_url":"https://mlp.eightfold.ai/careers/job/755956091922","location":"New York, New York, United States of America","job_type":"full-time","experience_level":"mid","work_arrangement":null,"category":"Finance","description":"Compliance Associate The Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies.
\nDay-to-day, the Compliance Officer will be instrumental in navigating regulatory requirements applicable to Millennium’s registered FCM and Clearing Member. Your primary focus will be delivering real-time compliance advisory services for Millennium’s self-clearing futures business. You will oversee transactions, conduct self-examination reviews, educate employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. You will also address inquiries and assist with regulatory examinations and investigations.
\nIdeal candidates should have experience working in compliance and/or regulatory reporting at a registered FCM and CME Clearing Member. The role requires an investigative mentality with an analytical approach to problem solving and keen attention to detail. Additionally, possessing excellent verbal and written communication skills and having prior experience working in a highly regulated environment is required.
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\nThe 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.
","enriched_at":1778270803327},{"id":"job_2e9504a4-6de","title":"Compliance Associate","source_url":"https://mlp.eightfold.ai/careers/job/755955800610","location":"New York, New York, United States of America","job_type":"full-time","experience_level":"senior","work_arrangement":"onsite","category":"Finance","description":"Compliance Associate
\nThe Compliance Department at Millennium is responsible for adopting, implementing, and administering a comprehensive compliance program, including policies and procedures, processes, systems, controls, surveillance, testing, and reporting, designed to prevent, detect, and address violations of applicable laws, rules, regulations, and Firm policies.
\nDay-to-day, the Compliance Officer will be instrumental in managing the Firm's responses to formal inquiries, examinations, and reviews from regulatory authorities and self-regulatory organisations applicable to Millennium's business, including the SEC, CFTC, NFA, CME, and other brokers, exchanges or regulators.
\nYour primary focus will be serving as the central coordination point for regulatory matters affecting Millennium's registered investment adviser and commodity pool operator businesses. You will act as the primary liaison between the Firm and regulators, oversee document productions and written responses, coordinate internal reviews and investigations, and partner closely with Legal, Risk, Operations, Finance, and business stakeholders to ensure timely, accurate, and well-supported regulatory submissions.
\nIdeal candidates should have experience working in compliance, regulatory examinations, investigations, or enforcement response within an SEC-registered investment adviser, commodity pool operator, hedge fund, or other highly regulated financial institution.
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\nExperience Level: senior Employment Type: full-time Workplace Type: onsite Category: Finance Industry: Finance Salary Range: $70,000 to $160,000 Salary Min: 70000 Salary Max: 160000 Salary Currency: USD Salary Period: year Required Skills:
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