What are the responsibilities and job description for the Research Compliance Associate position at Millennium?
Responsibilities
- Administer the Firm’s research compliance program including the initial due diligence and ongoing surveillance of third-party research providers.
- Administer the Firm’s data compliance program including the initial due diligence and ongoing surveillance of third party alternative data providers and internal web-scraping activities.
- Assist the investigation and handling of the receipt of improper information including but not limited to material non-public information (MNPI) and personal identifiable information (PII).
- General trading surveillance reviews, including focus on potential market manipulation and insider trading
- Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
- Prepare and conduct compliance trainings.
- Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
- Draft and amend compliance related policies and procedures
- Monitor regulatory changes, updates and industry-wide compliance initiatives
- Undertake and lead special compliance related projects involving various inter-department stakeholders
- 3-5 years of experience. Prior due diligence, surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal. Specifically looking for experience within research, data or control room compliance.
- Bachelor’s degree in Finance, Economics or similar is preferred.
- FINRA SIE, Series 7 or 3 licenses, or IACCP designation are a plus.
- Must be very detail oriented and organized, and able to work independently when necessary
- Good communication skills quick learner, detail oriented; demonstrable thoroughness and strong ownership
- Must be able to multi-task and manage competing deadlines of work
- Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options;
- Good team player with a strong willingness to participate and help others
- Proficiency in Excel (working with large data sets)
Salary : $70,000 - $160,000
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