Regulatory Compliance Specialist

2 months ago

London, Greater London, United Kingdom Millennium Management Full time

Regulatory Compliance Specialist Position at Millennium Management

The Compliance Division at Millennium Management is tasked with executing and supervising a robust Compliance framework to ensure compliance with legal requirements, regulatory standards, and internal policies. We are seeking a Regulatory Compliance Specialist to become a vital part of our team.

Core Responsibilities

  • Oversee Millennium's compliance framework and documentation, with a focus on Personal Account Dealing (PAD) policies and controls for the EMEA region
  • Assist in the onboarding of accounts, pre-trade approvals, and ongoing monitoring and surveillance
  • Support the administration and review of compliance certifications, including the handling of sensitive information
  • Enhance the accuracy and efficiency of compliance processes
  • Conduct compliance sampling and testing, and aid in the evaluation of new compliance technologies
  • Prepare compliance reports and presentations, and provide assistance during regulatory audits
  • Engage in monitoring, testing, and surveillance initiatives
  • Collaborate with personnel at all levels of the organization and across various departments
  • Maintain training documentation and materials, and participate in working groups and projects

Essential Qualifications/Skills

  • Bachelor's degree
  • Proficiency in Microsoft Office Suite
  • Strong attention to detail and knowledge of asset management industry regulations
  • Prior experience in a banking or asset management environment
  • Excellent communication, time-management, and organizational abilities
  • Capability to work independently and as part of a team in a dynamic setting
  • Quick adaptability to new challenges
  • Proven commitment to ethical standards and strong interpersonal skills

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