The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies.
We are currently seeking an experienced Compliance Officer to join our London Compliance Team to assist in overseeing the Personal Account Dealing programme and perform other core functions.
Principal Responsibilities
Oversee the Compliance programme for Personal Account Dealing across EMEA
Assist with account onboarding and initial certifications, trade pre-approvals, monitoring, surveillance and reconciliation
Meet one-on-one with new recruits in order to explain personal account onboarding and personal dealing requirements
Interact with employees across the Firm at all levels of seniority
Frequently identify, escalate and remediate policy breaches
Assist in improving the accuracy and efficiency of Compliance processes
Assist in testing new Compliance applications and workflow solutions
Frequently engage with, perform due diligence on, and onboard external personal account brokers
Assist in the preparation of Compliance reports and presentations, including collating and preparing management information
Deliver in person and video Compliance training (both induction and annual) to EMEA employees, covering Compliance programme requirements
Perform Compliance sampling and testing
Assist in the maintenance of the Firm’s compliance programme and records
Assist in the maintenance and administration of compliance disclosures and preapproval requests.
Provide support in maintaining the Conflict/Risk Assessment
Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
Assist in scheduling and maintaining training logs and materials
Participate in working groups and other projects as needed
Qualifications/Skills Required
Bachelor’s degree and 7+ years of experience working in Compliance or equivalent risk oversight role
Ability to coordinate, lead and inspire team members across multiple offices, jurisdictions, and time zones
Strong attention to detail
Strong verbal/written communication and interpersonal skills
Ability to work on multiple tasks simultaneously
Effective time-management and organisational skills
Ability to work autonomously and proactively but also within a collaborative, consensus driven environment
Ability to adapt to new situations quickly
Hardworking, friendly, honest, enthusiastic
Proficient in Microsoft Office Suite: Excel, Word, PowerPoint
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