Compliance Program Associate

3 days ago

Bengaluru, Karnataka, India Millennium Full time US$ 1,20,000 - US$ 2,00,000 per year

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

  • 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.

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