Compliance Officer.

Found in: Talent UK C2 - 2 weeks ago

London, United Kingdom Millennium Management Full time
Compliance Officer

Job Description

The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are currently seeking an experienced Compliance Officer to join our London Compliance Team to assist in overseeing the Personal Account Dealing programme and perform other core functions.

Principal Responsibilities

Oversee the Compliance programme for Personal Account Dealing across EMEA Assist with account onboarding, trade pre-approvals, monitoring, surveillance and reconciliation Deliver in person and video Compliance training (both induction and annual) to EMEA employees, covering Compliance programme requirements Meet one-on-one with new recruits in order to explain personal account onboarding and personal dealing requirements Interact with employees across the Firm at all levels of seniority Frequently identify, escalate and remediate policy breaches Assist in improving the accuracy and efficiency of Compliance processes Perform Compliance sampling and testing Assist in testing new Compliance applications and workflow solutions Frequently engage with, perform due diligence on, and onboard external personal account brokers Assist in the preparation of Compliance reports and presentations, including collating and preparing management information Assist in the administration and review of quarterly certifications, which may include sensitive information relating to conduct Assist in the maintenance of the Firm’s compliance programme and records Assist in the maintenance and administration of compliance disclosures and preapproval requests. Provide support in maintaining the Conflict/Risk Assessment Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections Assist in scheduling and maintaining training logs and materials Participate in working groups and other projects as needed

Qualifications/Skills Required

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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