Posted 17 days ago
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The Compliance - Trade Surveillance role at Millennium Management is responsible for daily electronic communications and trading surveillance, focusing on potential insider trading and market manipulation. The analyst will monitor surveillance reports, review alerts, conduct investigations (including handling inadvertent receipt of MNPI), and escalate findings as needed. The role involves interacting with business and compliance teams, assisting with regulatory examinations and drafting compliance policies and procedures. Candidates should have strong analytical, written and communication skills, familiarity with surveillance platforms, and experience in securities and trading.
- Compensation
- Not specified
- City
- Not specified
- Country
- United States
Currency: Not specified
Full Job Description
Compliance - Trade Surveillance
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
- General electronic communications and trading surveillance reviews,
- including focus on potential insider trading and market manipulation.
- Monitor daily surveillance reports using exception reports and other tools.
- Review surveillance alerts, conduct analysis and escalate findings as needed.
- Assist the investigation and handling of the inadvertent receipt of material non-public information (MNPI).
- Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
- Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
- Draft and amend compliance related policies and procedures.
- Monitor regulatory changes, updates and industry-wide compliance initiatives.
- Undertake and lead special compliance related projects involving various inter-department stakeholders.
Qualifications
- Bachelor’s degree in finance, Economics or a related field is preferred, with a strong academic record.
- 3+ years of experience; prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
- Experience in the securities and trading industry preferred.
- Knowledge of US financial markets preferred.
- Previous experience working with third-party surveillance platforms.
- Exceptional written, analytical, and research skills and 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.
- Candidate must have strong communication, analytical skills and a desire to learn.
- Ability to handle several tasks simultaneously.
- Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options.
- Must be a phenomenal teammate, able to work with others, enthusiasm for trading markets.
- Proficient to advanced computer skills including Bloomberg, MS Outlook, Word, Excel and PowerPoint.
