Compliance Associate - London, United Kingdom - Millennium Management LLC

Millennium Management LLC

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Compliance Associate

Principal Responsibilities

Assist in the maintenance and administration of the Firm's personal account dealing programme including account approvals, trade preclearance, reconciliation and monitoring and sampling
Assist in the maintenance and administration of the Firm's quarterly compliance certifications and review and approval of related disclosures such as outside business activities
Assist in drafting, reviewing and updating Compliance policies and procedures
Assist in the maintenance and administration of the Firm's compliance monitoring programme
Schedule and maintain training logs and materials
Involvement in monitoring and surveillance of electronic and voice communications as well as trading activities
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
Assist in regulatory reporting, including UK/EU short sale disclosures and MiFIR trade and transaction reporting
Facilitate and track research requests by portfolio managers
Interaction with all areas of the Firm's trading and backoffice departments
Participate in working groups and other projects as needed

Qualifications/Skills Required

Previous experience working in the Compliance department of a financial services firm, with experience including areas such as compliance monitoring, personal account dealing, surveillance and policies and procedures
Understanding of the rules and regulations applicable to financial services firms and compliance processes and systems
Regulatory background in UK and European markets
Helpful to have experience in MiFID trade and transaction reporting
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;
Strong communication skills