Core Compliance Associate
2 days ago
Job Description
Core Compliance 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 ~6,000 employees with offices in the United States, Europe, and Asia.
Over the last 35+ 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
- 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;
- Design, manage and coordinate local compliance training program, including preparing and updating materials for induction, periodic and ad hoc training sessions;
- 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;
- 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;
- Closely collaborate and communicate with Asia compliance and global compliance teams;
- Prepare reports and maintain accurate records of compliance activities, including compliance manuals;
- 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:
- 8-10 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;
- 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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