Compliance Associate - London, United Kingdom - Millennium Management LLC

Millennium Management LLC
Millennium Management LLC
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
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 preapproval
  • 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 backoffice 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 36 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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