Compliance Officer

1 month ago

London, Greater London, United Kingdom Millennium Management Full time
Compliance Officer Job Description

Millennium Management is seeking an experienced Compliance Officer to join our London Compliance Team. The successful candidate will be responsible for overseeing the Personal Account Dealing programme and performing other core functions.

Key Responsibilities:
  • Develop and implement a Compliance programme for Personal Account Dealing across EMEA
  • Assist with account onboarding, trade pre-approvals, monitoring, surveillance, and reconciliation
  • Deliver Compliance training to EMEA employees, covering Compliance programme requirements
  • Meet with new recruits to explain personal account onboarding and personal dealing requirements
  • Interact with employees across the Firm at all levels of seniority
  • Identify, escalate, and remediate policy breaches
  • Improve the accuracy and efficiency of Compliance processes
  • Perform Compliance sampling and testing
  • Assist in testing new Compliance applications and workflow solutions
  • Engage with, perform due diligence on, and onboard external personal account brokers
  • Prepare Compliance reports and presentations, including collating and preparing management information
  • Administer and review quarterly certifications, which may include sensitive information relating to conduct
  • Maintain the Firm's compliance programme and records
  • Maintain and administer compliance disclosures and preapproval requests
  • Provide support in maintaining the Conflict/Risk Assessment
  • Support regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
  • Schedule and maintain training logs and materials
  • Participate in working groups and other projects as needed
Requirements:
  • Bachelor's degree and 5+ years of experience working in Compliance or equivalent risk oversight role
  • Ability to coordinate, lead, and inspire team members across multiple offices, jurisdictions, and time zones
  • Strong attention to detail
  • Strong verbal/written communication and interpersonal skills
  • Ability to work on multiple tasks simultaneously
  • Effective time-management and organisational skills
  • Ability to work autonomously and proactively but also within a collaborative, consensus-driven environment
  • Ability to adapt to new situations quickly
  • Hardworking, friendly, honest, enthusiastic
  • Proficient in Microsoft Office Suite: Excel, Word, PowerPoint

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong communication and organizational skills.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong organizational skills and the ability to work effectively in a fast-paced environment.Key Responsibilities:Monitor and assess compliance with regulatory...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that requires strong organizational skills and the ability to work effectively in a fast-paced environment.Key Responsibilities:Monitor and assess compliance with regulatory...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that offers a unique opportunity to work with a boutique wholesale bank.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to join our team at Compliance Professionals. This is a 5-day office-based role that offers a unique opportunity to work with a boutique wholesale bank.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer RoleWe are seeking a Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist with the development and implementation of compliance policies and...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the development and implementation...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Junior Compliance OfficerWe are seeking a detail-oriented and analytical Junior Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist in the development and implementation...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionOur client, a boutique investment and trading firm, is seeking a skilled Compliance Officer to join their team. As a key member of the Compliance Professionals team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.Key...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and maintain compliance policies and...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and maintain compliance policies and...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring our company's compliance with regulatory requirements and maintaining a strong risk management culture.Key Responsibilities:Develop and implement compliance policies and...