Millennium
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Compliance Associate
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Millennium Join to apply for the
Compliance Associate
role at
Millennium Get AI-powered advice on this job and more exclusive features. Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX) Undertake and lead special compliance related projects involving various inter-department stakeholders Conduct reviews as part of the Firms overall compliance program as required under the Investment Advisers Act Rule 206(4)-7 Organize and administer the Firms committee governance program and documentation Monitor regulatory changes, updates and industry-wide compliance initiatives Review and analyze reports generated by the Firms surveillance systems Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
Responsibilities
Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX) Undertake and lead special compliance related projects involving various inter-department stakeholders Conduct reviews as part of the Firms overall compliance program as required under the Investment Advisers Act Rule 206(4)-7 Organize and administer the Firms committee governance program and documentation Monitor regulatory changes, updates and industry-wide compliance initiatives Review and analyze reports generated by the Firms surveillance systems Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
Qualifications
Bachelors degree from an accredited university or college with a strong academic record; JD is a plus 5+ years of experience in compliance experience, including at a global financial institution, asset manager or regulator Superior verbal and written communication, as well as analytical and problem solving skills Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred Detail oriented; critical thinker, demonstrates thoroughness and strong ownership of work Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast moving, high pressure, constantly changing environment; strong sense of urgency Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred Good team player with a strong willingness to participate and help others Experience in a compliance position at a registered investment advisor preferred Broad product and financial services industry knowledge
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individuals experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Finance and Sales Industries
Investment Management Referrals increase your chances of interviewing at Millennium by 2x Sign in to set job alerts for Compliance Associate roles.
New York, NY $90,000.00-$100,000.00 2 weeks ago New York, NY $125,000.00-$150,000.00 1 week ago New York, NY $130,000.00-$170,000.00 2 weeks ago New York City Metropolitan Area $130,000.00-$140,000.00 1 week ago New York, NY $84,981.00-$97,728.00 1 month ago Brooklyn, NY $52,000.00-$63,500.00 2 months ago Associate Program Compliance and Middle Office
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Associate - Regulatory Compliance (Private Funds)
Manhattan, NY $45,040.00-$52,242.00 3 weeks ago New York City Metropolitan Area $120,000.00-$170,000.00 3 days ago New York, NY $70,000.00-$85,000.00 3 weeks ago New York City Metropolitan Area $100,000.00-$130,000.00 3 days ago New York, NY $86,400.00-$162,000.00 5 days ago New York, NY $70,000.00-$75,000.00 5 days ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr
Compliance Associate
role at
Millennium Join to apply for the
Compliance Associate
role at
Millennium Get AI-powered advice on this job and more exclusive features. Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX) Undertake and lead special compliance related projects involving various inter-department stakeholders Conduct reviews as part of the Firms overall compliance program as required under the Investment Advisers Act Rule 206(4)-7 Organize and administer the Firms committee governance program and documentation Monitor regulatory changes, updates and industry-wide compliance initiatives Review and analyze reports generated by the Firms surveillance systems Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
Responsibilities
Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX) Undertake and lead special compliance related projects involving various inter-department stakeholders Conduct reviews as part of the Firms overall compliance program as required under the Investment Advisers Act Rule 206(4)-7 Organize and administer the Firms committee governance program and documentation Monitor regulatory changes, updates and industry-wide compliance initiatives Review and analyze reports generated by the Firms surveillance systems Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
Qualifications
Bachelors degree from an accredited university or college with a strong academic record; JD is a plus 5+ years of experience in compliance experience, including at a global financial institution, asset manager or regulator Superior verbal and written communication, as well as analytical and problem solving skills Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred Detail oriented; critical thinker, demonstrates thoroughness and strong ownership of work Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast moving, high pressure, constantly changing environment; strong sense of urgency Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred Good team player with a strong willingness to participate and help others Experience in a compliance position at a registered investment advisor preferred Broad product and financial services industry knowledge
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individuals experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
Seniority level
Seniority level
Mid-Senior level Employment type
Employment type
Full-time Job function
Job function
Finance and Sales Industries
Investment Management Referrals increase your chances of interviewing at Millennium by 2x Sign in to set job alerts for Compliance Associate roles.
New York, NY $90,000.00-$100,000.00 2 weeks ago New York, NY $125,000.00-$150,000.00 1 week ago New York, NY $130,000.00-$170,000.00 2 weeks ago New York City Metropolitan Area $130,000.00-$140,000.00 1 week ago New York, NY $84,981.00-$97,728.00 1 month ago Brooklyn, NY $52,000.00-$63,500.00 2 months ago Associate Program Compliance and Middle Office
New York, NY $60,000.00-$90,000.00 2 weeks ago Compliance Associate | AML/Code of Ethics
New York City Metropolitan Area 3 weeks ago Compliance Associate, Leading Hedge Fund
New York City Metropolitan Area $100,000.00-$130,000.00 3 weeks ago Risk and Compliance Senior Associate, Global Business Strategy and Operations
New York, NY $100,000.00-$120,000.00 1 day ago New York City Metropolitan Area $100,000.00-$200,000.00 1 week ago New York, NY $120,000.00-$125,000.00 3 weeks ago Paralegal-Legal Department-Mount Sinai Hospital-Full Time-Days
Associate - Regulatory Compliance (Private Funds)
Manhattan, NY $45,040.00-$52,242.00 3 weeks ago New York City Metropolitan Area $120,000.00-$170,000.00 3 days ago New York, NY $70,000.00-$85,000.00 3 weeks ago New York City Metropolitan Area $100,000.00-$130,000.00 3 days ago New York, NY $86,400.00-$162,000.00 5 days ago New York, NY $70,000.00-$75,000.00 5 days ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr