Compliance Associate

2 weeks ago

London, Greater London, United Kingdom Millennium Management LLC Full time
Compliance Associate

Principal Responsibilities

  • Assist in the maintenance and administration of the Firm's personal account dealing programme including account approvals, trade preclearance, reconciliation and monitoring and sampling
  • Assist in the maintenance and administration of the Firm's quarterly compliance certifications and review and approval of related disclosures such as outside business activities
  • Assist in drafting, reviewing and updating Compliance policies and procedures
  • Assist in the maintenance and administration of the Firm's compliance monitoring programme
  • Schedule and maintain training logs and materials
  • Involvement in monitoring and surveillance of electronic and voice communications as well as trading activities
  • Assist in the preparation of compliance reports and presentations
  • Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
  • Assist in regulatory reporting, including UK/EU short sale disclosures and MiFIR trade and transaction reporting
  • Facilitate and track research requests by portfolio managers
  • Interaction with all areas of the Firm's trading and backoffice departments
  • Participate in working groups and other projects as needed
Qualifications/Skills Required

  • Previous experience working in the Compliance department of a financial services firm, with experience including areas such as compliance monitoring, personal account dealing, surveillance and policies and procedures
  • Understanding of the rules and regulations applicable to financial services firms and compliance processes and systems
  • Regulatory background in UK and European markets
  • Helpful to have experience in MiFID trade and transaction reporting
  • Ability to manage multiple projects and deliver on a timely basis
  • 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;
  • Strong communication skills

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