Compliance Analyst, Finance & Banking

Compliance Analyst

Position Details

* General trading surveillance reviews, including focus on potential market manipulation and insider trading.

* Monitoring daily surveillance reports using exception reports and other tools

* Review Trade alerts and escalate findings as needed

* Undertaking special compliance related projects as assigned

* Maintaining accurate, organized compliance books and records

Qualifications/Skills Required

* 3-5 years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.

* Specific experience in equity or futures market is preferred

* Bachelor's degree in Finance, Economics or similar is preferred.

* Series 7 or 3 is a plus.

* Strong communication and analytical skills.

* Creative problem-solving abilities.

* Ability to manage multiple tasks simultaneously.

* Strong attention to detail with a solid sense for discretionary escalation.

* Ability to identify complex problems and evaluate options based on related information.

* Highly motivated self-starter with flexibility to work under pressure and meet deadlines.

* Team player with enthusiasm for trading markets.

* Advanced proficiency in Excel, particularly in working with large data sets.

* Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus.

* Familiarity with creating and maintaining metrics reporting dashboards to track compliance activities and performance.

* This role is ideal for candidates who thrive in a fast-paced environment, possess a keen eye for detail, and have a passion for compliance and trading markets. The ability to generate and interpret metrics reports will be a key component of success in this position.

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 individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.