Compliance Officer

7 days ago

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

At Millennium Management, we are 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

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