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Millennium Management
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Compliance Program Associate

Compliance Program Associate

Millennium Management

2 - 5 years

8 - 12 Lacs

bengaluru

Posted:None| Platform:

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Skills Required

trade interpersonal skills bloomberg analytical ms outlook investment management research operations monitoring global compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

Compliance Program 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 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 -

Compliance Program Management:

Support the implementation and monitoring of compliance policies, procedures, and controls across the Asia region.
Assist with trade monitoring and electronic communications surveillance reviews, focusing on potential insider trading, market manipulation, and inadvertent receipt of material non-public information (MNPI).
Review surveillance alerts, conduct analysis, and escalate findings as needed.
Collaborate with other members of the Asia Compliance team to address compliance risks, regulatory developments, and operational challenges.
Manage additions/deletions to the Restricted List and requests to trade in alignment with firm policies.

Policy Development & Maintenance:

Assist in drafting, enhancing, and implementing compliance policies and procedures.
Conduct regular reviews to ensure policies remain effective and aligned with regulatory expectations.
Provide recommendations for mitigating compliance risks and improving operational efficiency.

Internal Investigations & Risk Assessments:

Support internal investigations into compliance-related matters, including broker or regulatory inquiries from different APAC countries.
Perform thorough risk assessments and contribute to implementing appropriate mitigation strategies.

Regulatory Awareness & Special Projects:

Monitor regulatory changes, updates, and industry-wide compliance initiatives.
Undertake and contribute where necessary to compliance-related projects involving various inter-department stakeholders.

Qualifications -

Experience & Background:

Bachelor s degree in finance, Economics, Law, or a related field is preferred, with a strong academic record.
5+ years of experience in compliance, trade surveillance, or a related field at a regulatory authority, bank/broker, or buy-side firm.
Experience in the securities and trading industry preferred.
Knowledge of regulatory frameworks and compliance requirements across Asia is advantageous.

Technical Expertise:

Previous experience working with third-party compliance and surveillance tools and platforms.
Strong analytical and problem-solving skills to address complex compliance issues.
Proficient to advanced computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint.

Interpersonal Skills:

Exceptional written, analytical, and research skills with 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.
Must be a team player with enthusiasm for trading markets and a proactive approach to problem-solving.

Adaptability & Growth Mindset:

Ability to prioritize and adapt in a fast-moving, high-pressure environment.
Proactive approach to identifying and addressing compliance risks.
Commitment to continuous learning and professional development.

Additional Information -

This role is part of the broader Asia Compliance team and collaborates closely with regional and global compliance teams to ensure alignment of strategies and practices.

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Millennium Management

Investment Management

New York

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Compliance Program Associate