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Job Description
- Req#: REQ-21145
- 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
- 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 OfficerJob 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
Qualifications/Skills Required
About the company
Millennium is a global alternative investment management firm, founded in 1989, which manages $47.1 billion in assets. We seek to pursue a diverse array of investment strategies across industry sectors, asset classes, and geographies.
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