What are the responsibilities and job description for the Senior Compliance Officer position at Millennium?
Position Details
- Provide ongoing compliance support to WorldQuant Millennium Advisors (“WMA”)
- Conduct ongoing WMA compliance reviews
- Address compliance-related items for the launches of new WMA funds and separately managed accounts (“SMAs”)
- Assist with regulatory examinations, inquiries, investigations and projects, as necessary
- Monitor global regulatory changes, updates and industry-wide compliance initiatives
- Assist with drafting and amending compliance-related policies and procedures
- Create and implement additional WMA compliance reviews
- Review marketing materials for WMA funds and SMAs
- Prepare and conduct compliance trainings
- 14 years of experience at a regulatory authority, bank/broker or buy-side firm
- Investment Management Compliance experience, inclusive of addressing regulatory items related to launching and ongoing compliance oversight of funds and SMAs
- Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms
- Bachelor’s degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred
- Law degree is preferred
- An understanding of global financial markets, including market structure, is preferred
- Strong analytical / conceptual problem-solving skills with attention to detail
- Strong sense of ownership and personal responsibility
- Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments
- Strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments
- Ability to create presentation materials for senior management
- Good team player with a strong willingness to participate and help others