Compliance Associate

3 days ago

London, United Kingdom Millennium Management LLC Full time

Compliance Associate

Principal Responsibilities
- Administer the SMCR certification process including maintaining and improving the process
- Assist with other SMCR processes including reasonable steps
- Provide guidance and assistance regarding SMCR to various internal stakeholders including HR and business /business management.
- Assist in the maintenance of the Firm’s compliance programme and records
- Assist in the maintenance and administration of compliance certifications, disclosures and pre-approval
- Provide support to maintain the Firm’s Conflict/Risk Assessment
- 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 and any other compliance matters as applicable
- Interaction with all areas of the Firm’s trading and back-office departments
- Schedule and maintain training logs and materials
- Assist with personal trading reconciliation
- Participate in working groups and other projects as needed

Qualifications/Skills Required
- At least 3-6 years’ previous experience working in the Compliance department of a financial services company
- Experience in working with SMCR
- Understanding of and experience working with UK and European rules and regulations and compliance processes and systems
- Strong data analysis, working with large data sets, manipulating information and creating technical solutions
- Ideally has experience in compliance monitoring and surveillance
- 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; high sense of urgency
- Strong communication skills

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