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Compliance Program Associate
2 weeks ago
Compliance Program Associate
**Who We Are**
Millennium Management is a global investment management firm founded in 1989 that manages approximately $74 billion in assets. Millennium has more than 2,300 employees with offices in the United States, Europe, and Asia. Over the last 25+ years, our mission has remained constant: to deliver the alternative investment industry’s highest quality returns to our investors, and to maintain a commitment to our principles of integrity, discipline, and excellence.
**Responsibilities**
- **Compliance Program Management**:
- Support the implementation and monitoring of compliance policies, procedures, and controls across the Asia region.
- Assist with trade monitoring and electronic communications surveillance reviews, focusing on potential insider trading, market manipulation, and inadvertent receipt of material non-public information (MNPI).
- Review surveillance alerts, conduct analysis, and escalate findings as needed.
- Collaborate with other members of the Asia Compliance team to address compliance risks, regulatory developments, and operational challenges.
- Manage additions/deletions to the Restricted List and requests to trade in alignment with firm policies.
**Policy Development & Maintenance**:
- Assist in drafting, enhancing, and implementing compliance policies and procedures.
- Conduct regular reviews to ensure policies remain effective and aligned with regulatory expectations.
- Provide recommendations for mitigating compliance risks and improving operational efficiency.
**Internal Investigations & Risk Assessments**:
- Support internal investigations into compliance-related matters, including broker or regulatory inquiries from different APAC countries.
- Perform thorough risk assessments and contribute to implementing appropriate mitigation strategies.
**Regulatory Awareness & Special Projects**:
- Monitor regulatory changes, updates, and industry-wide compliance initiatives.
- Undertake and contribute where necessary to compliance-related projects involving various inter-department stakeholders.
**Qualifications -**
**Experience & Background**:
- Bachelor’s degree in finance, Economics, Law, or a related field is preferred, with a strong academic record.
- 5+ years of experience in compliance, trade surveillance, or a related field at a regulatory authority, bank/broker, or buy-side firm.
- Experience in the securities and trading industry preferred.
- Knowledge of regulatory frameworks and compliance requirements across Asia is advantageous.
**Technical Expertise**:
- Previous experience working with third-party compliance and surveillance tools and platforms.
- Strong analytical and problem-solving skills to address complex compliance issues.
- Proficient to advanced computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint.
**Interpersonal Skills**:
- Strong attention to detail, organization, and effective communication skills, both verbal and written.
- Ability to work effectively and independently with all levels of management and staff.
- Must be a team player with enthusiasm for trading markets and a proactive approach to problem-solving.
**Adaptability & Growth Mindset**:
- Ability to prioritize and adapt in a fast-moving, high-pressure environment.
- Proactive approach to identifying and addressing compliance risks.
- Commitment to continuous learning and professional development.
**Additional Information -**
This role is part of the broader Asia Compliance team and collaborates closely with regional and global compliance teams to ensure alignment of strategies and practices.
