What are the responsibilities and job description for the Compliance Analyst position at Millennium?
Position Details
- General trading surveillance reviews, including focus on potential market manipulation and insider trading.
- Monitoring daily surveillance reports using exception reports and other tools
- Review Trade alerts and escalate findings as needed
- Undertaking special compliance related projects as assigned
- Maintaining accurate, organized compliance books and records
- 3-5 years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
- Specific experience in equity or futures market is preferred
- Bachelor’s degree in Finance, Economics or similar is preferred.
- Series 7 or 3 is a plus.
- Strong communication and analytical skills.
- Creative problem-solving abilities.
- Ability to manage multiple tasks simultaneously.
- Strong attention to detail with a solid sense for discretionary escalation.
- Ability to identify complex problems and evaluate options based on related information.
- Highly motivated self-starter with flexibility to work under pressure and meet deadlines.
- Team player with enthusiasm for trading markets.
- Advanced proficiency in Excel, particularly in working with large data sets.
- Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus.
- Familiarity with creating and maintaining metrics reporting dashboards to track compliance activities and performance.