
Personal Account Dealing
7 days ago
Personal Account Dealing (Compliance - PAD)
**Role Overview**
Millennium is hiring a Compliance Analyst to join a growing team in Bangalore to support the EMEA compliance function. The individual will assist with implementing the compliance framework, with a primary focus on personal account dealing (“PAD”) controls and monitoring.
**Global Compliance**
Global Compliance manages the firm’s compliance, regulatory and reputational risks through the implementation of a compliance programme designed to support adherence to applicable global laws, rules and regulations.
**Principal Responsibilities**:
- Assist in the maintenance of Millennium’s compliance programme and records with a primary focus on Personal Account Dealing (PAD) policy and controls for EMEA.
- Review of employee personal account dealing requests and queries in line with Millennium’s policies and procedures.
- Lead and find appropriate resolutions to internal PAD related queries.
- Collect, process and analyze large data sets in a timely manner, including, for example, employee financial statements and internal metrics.
- Maintain a detailed and organized workflow to ensure data entries are complete, accurate and retained.
- Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate.
- Involvement in the maintenance of general compliance programme including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime.
- Collaborate and work closely with colleagues globally, specifically those in Bangalore and EMEA.
- Participate in working groups and lead on project deliverables as needed.
**Qualifications/Skills**:
- Minimum bachelor’s degree.
- Preferred 1-3 years of financial industry experience (preferably in compliance or other relevant roles).
- Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills
- An understanding of financial markets and compliance risks.
- Excellent communication skills and the ability to collaborate with team members across all levels globally.
- Detail oriented, organized, and able to work independently.
- Operates with a high degree of accuracy and efficiency.
- Ability to multi-task and manage competing deadlines.
- Ability to adapt to new situations quickly, learn and improve.
- Hardworking with a commitment to maintain the highest ethical standards.
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