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.

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

• Exceptional written, analytical, and research skills with the ability to apply both quantitative and qualitative analysis.
• 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.