Compliance Associate

4 weeks ago

Bengaluru Karnataka, India Millennium Management Full time

Compliance Associate

**Overview**
Millennium is a global, diversified alternative investment firm, founded in 1989, which manages $69.5 billion in assets. Defined by evolution, innovation and focus, Millennium's mission is to deliver high-quality returns for our investors. Millennium seeks to empower talented professionals with the sophisticated expertise, resources and technology to pursue a diverse range of investment strategies across industry sectors, asset classes and geographies.

**Principal Responsibilities**
- Support the maintenance and continuous enhancement of a comprehensive compliance program covering Millennium’s existing onshore business/operations in India, including a high growth center of excellence in Bangalore, leveraging Millennium’s global compliance program.
- Research and analyze all relevant compliance issues, risks, and developments, and provide recommendations to mitigate such issues/risks and prepare for such developments by drafting, amending, designing and implementing appropriate policies, procedures and controls.
- Undertake monitoring and surveillance in relation to such policies, procedures and controls.
- Conduct internal reviews on and, as appropriate, develop, enhance and maintain such policies, procedures and controls.
- Design, manage and coordinate local compliance training program, including preparing and updating materials for induction, periodic and ad hoc training sessions.
- Conduct internal investigations/risk assessments into a variety of compliance related matters, including without limitation employee conduct, and guide/advise on internal conduct related processes in conjunction with other stakeholders.
- Implement quality control and testing procedures as appropriate.
- Prepare for and respond to regulatory inquiries, inspections and surveys as relevant/appropriate.
- Closely collaborate and communicate with Asia compliance and global compliance teams.
- Prepare reports and maintain accurate records of compliance activities, including compliance manuals, and any regulatory communications.
- Assist country, regional and global compliance teams on any ad hoc tasks and projects as may be assigned from time to time.
- Help in setting and fostering a robust governance and compliance culture, ethical practices and ensuring all employees understand and follow regulatory obligations.

**Qualifications/Skills Required**
- 6-8 years’ experience at a financial institution or similar organization working on compliance matters.
- Experience implementing and maintaining compliance programs, including drafting, amending, designing and implementing appropriate policies, procedures, training and controls.
- Experience conducting internal investigations and guiding/advising on internal conduct related processes.
- Knowledge of SEBI rules and regulations and experience responding to inquiries from and managing investigations by SEBI and other local regulators.
- Ability to work with various departments in Millennium and build smooth working relationships.
- Able to prioritize in a fast moving, high pressure, constantly changing environment.
- Strong analytical and problem-solving skills.
- Growth mindset.
- Detail oriented.
- Strong communication skills; and Chartered Accountant, Company Secretary, bachelor’s degree in finance, Economics, Law or similar field (preferred).

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