3 Trading Surveillance Jobs

As a Trade Surveillance Analyst at Millennium Management, you will play a crucial role in ensuring compliance with regulatory requirements and maintaining the integrity of the firm's operations. You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential instances of insider trading and market manipulation. By monitoring daily surveillance reports and using various tools, you will analyze alerts, escalate findings as necessary, and assist in the investigation of material non-public information (MNPI). Your role will also involve regular interaction with the business and compliance teams to provide guidance on compliance matters, as well as assisting with regulatory examinations, inquiries, and projects. You will be expected to draft and amend compliance-related policies and procedures, monitor regulatory changes and industry initiatives, and lead special projects involving multiple stakeholders within the firm. To excel in this role, you should ideally possess a Bachelor's degree in finance, Economics, or a related field, along with at least 3 years of relevant experience. Prior experience in surveillance or a related role at a regulatory authority, bank, broker, or buy-side firm would be advantageous. Knowledge of the securities and trading industry, particularly in the US financial markets, is preferred. You should also have experience working with third-party surveillance platforms and demonstrate exceptional written, analytical, and research skills. Strong attention to detail, effective communication skills, and the ability to work independently with various levels of management and staff are essential for success in this position. You must be a proactive team player with a desire to continuously learn and improve. The ability to handle multiple tasks simultaneously, identify complex problems, and evaluate options will be key to your success. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are a motivated and detail-oriented professional with a passion for compliance and a keen interest in the financial markets, we encourage you to apply for the Trade Surveillance Analyst position at Millennium Management. Join us in our mission to deliver high-quality returns to investors while upholding principles of integrity, discipline, and excellence.,

As a Compliance Analyst at Millennium Management, you will be responsible for conducting general electronic communications and trading surveillance reviews, focusing on potential insider trading and market manipulation. Your role will involve monitoring daily surveillance reports, analyzing surveillance alerts, and escalating findings as necessary. You will also assist in investigating and handling inadvertent receipt of material non-public information (MNPI). In this position, you will interact with the business and compliance teams on a daily basis, offering advice and guidance to firm personnel on compliance matters. Additionally, you will play a key role in regulatory examinations, inquiries, investigations, and projects. Drafting and amending compliance-related policies and procedures, monitoring regulatory changes, updates, and industry-wide compliance initiatives will also be part of your responsibilities. The ideal candidate for this role should possess a Bachelor's degree in finance, Economics, or a related field, with a strong academic record. A minimum of 3 years of experience is required, with prior surveillance or related experience at a regulatory authority, bank/broker, or buy-side firm being ideal. Knowledge of the securities and trading industry, particularly US financial markets, is preferred. Experience with third-party surveillance platforms is also necessary. To excel in this role, you must have exceptional written, analytical, and research skills. You should be able to apply both quantitative and qualitative analysis effectively. Strong attention to detail, organizational skills, and effective communication skills, both verbal and written, are essential. The ability to work independently and collaboratively with all levels of management and staff is crucial. As a Compliance Analyst, you should have a desire to learn, strong communication and analytical skills, and the ability to handle multiple tasks simultaneously. Attention to detail and the capability to identify complex problems, review related information, and develop and evaluate options are key. Being a phenomenal teammate with enthusiasm for trading markets is highly valued. Proficiency in advanced computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are looking to be part of a global investment management firm committed to delivering the highest quality returns to investors while upholding principles of integrity, discipline, and excellence, this opportunity at Millennium Management may be the perfect fit for you.,

You will be joining Millennium Management, a global investment management firm established in 1989 with assets under management totaling approximately $74 billion. With over 2,300 employees worldwide and offices in the United States, Europe, and Asia, our core mission over the past 25+ years has been to provide our investors with the highest quality returns in the alternative investment industry while upholding our principles of integrity, discipline, and excellence. Your responsibilities will include conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation activities. You will be required to monitor daily surveillance reports using exception reports and various tools, review surveillance alerts, perform analysis, and escalate any findings as necessary. Additionally, you will assist in investigating and managing inadvertent receipt of material non-public information (MNPI), and collaborate closely with business and compliance teams to offer guidance on compliance matters. Furthermore, you will play a key role in supporting regulatory examinations, inquiries, investigations, and projects as needed. You will also be responsible for drafting and updating compliance-related policies and procedures, staying informed about regulatory changes, updates, and industry-wide compliance initiatives, and leading special compliance projects involving multiple stakeholders from different departments. To qualify for this position, a Bachelor's degree in finance, economics, or a related field is preferred, along with a robust academic background. You should have 8-10 years of experience, ideally including prior surveillance experience at a regulatory authority, bank/broker, or buy-side firm. Knowledge of the securities and trading industry, particularly in US financial markets, is advantageous. Experience with third-party surveillance platforms, exceptional written and analytical skills, and the ability to apply quantitative and qualitative analysis are essential. Strong attention to detail, organizational skills, and effective communication abilities, both verbal and written, are also required. You should be capable of working independently and collaboratively across all levels of management and staff, possess a desire to learn, and be able to handle multiple tasks simultaneously. Moreover, you must have the ability to identify complex problems, review relevant information to develop and evaluate options, and be a strong team player with enthusiasm for trading markets. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is expected for this role.,