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- Tasks: Lead compliance for EMEA surveillance and transaction reporting in a dynamic environment.
- Company: Millennium is a leading investment management firm focused on compliance excellence.
- Benefits: Enjoy a full-time role with opportunities for growth and collaboration across teams.
- Why this job: Join a fast-paced team making a real impact in regulatory compliance and trading.
- Qualifications: 10+ years in compliance, strong leadership skills, and a solid understanding of EMEA regulations required.
- Other info: Ideal for detail-oriented individuals who thrive under pressure and enjoy multi-tasking.
The predicted salary is between 72000 - 108000 £ per year.
Join to apply for the Senior Compliance Officer – Surveillance & Transaction Reporting role at Millennium
Join to apply for the Senior Compliance Officer – Surveillance & Transaction Reporting role at Millennium
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Job Description – Senior Compliance Officer (Surveillance and Transaction Reporting)
The Compliance Department at Millennium adopts, implements, and manages the compliance programme, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is crafted to prevent or detect violations of applicable laws, rules and regulatory requirements and firm policies.
This senior position, overseeing Millennium’s EMEA Surveillance and Transaction Reporting Compliance program, reports to the Deputy Head of Compliance, EMEA. This role encompasses hands on day-to-day tasks as well as policy and project work in a dynamic and expanding firm. The role requires the ability to multi-task, work within a team as well as independently, and liaise with all levels of people across the Firm.
Principal Responsibilities
- Oversee and manage the EMEA Surveillance and Transaction Reporting Compliance Team
- Compliance oversight of EMEA-based algorithmic trading, including involvement in formulating and implementing Millennium’s global algorithmic compliance programme at the EMEA level
- Compliance oversight of MiFID II, EU short sale and other regulatory reporting
- Oversight of European compliance surveillance programme, including Nasdaq SMARTS
- Lead and provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
- Interact with all facets of the Firm’s trading and back-office departments
- Prepare compliance reports and presentations
- Assist with the Firm’s compliance testing and monitoring programme
- Assist in the maintenance of the Firm’s general compliance programme and record keeping
- Assist in the maintenance of the Firm’s Risk Assessments
- Undertake and lead special compliance related projects involving various inter-department stakeholders
- Keep up to date on, research and track compliance, regulatory, and legal issues, trends, and upcoming developments; develop new compliance initiatives
- Participate in working groups, projects and other work as needed
Qualifications/Skills Required
- 10+ years’ experience working in Compliance or other relevant experience
- Previous experience leading/managing a team
- Experience leading regulatory enquiries, reviews and interactions
- Strong regulatory background in EMEA markets with comprehensive understanding of, and experience working with, rules and regulations and compliance processes and systems
- Surveillance and transaction monitoring experience with a strong forensic, analytical mindset and a solid understanding of trade and surveillance workflow
- Broad product and financial services industry knowledge
- Experience in interacting with trading and core infrastructure groups
- Essential to have strong interpersonal skills
- Must be a quick learner, detail oriented; demonstrable thoroughness and strong ownership of work
- Able to multi-task and prioritise in a fast moving, high pressure, constantly changing environment; able to meet competing deadlines on a timely basis
- Team player with a strong willingness to participate and help others
- Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred
Seniority level
-
Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
-
Job function
Legal
-
Industries
Investment Management
Referrals increase your chances of interviewing at Millennium by 2x
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Senior Compliance Officer - Surveillance & Transaction Reporting employer: Millennium
Contact Detail:
Millennium Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer - Surveillance & Transaction Reporting
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks relevant to EMEA markets, especially MiFID II. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-evolving field.
✨Tip Number 2
Network with professionals in the compliance sector, particularly those who have experience in surveillance and transaction reporting. Engaging with industry peers can provide valuable insights and potentially lead to referrals that enhance your application.
✨Tip Number 3
Showcase your leadership skills by discussing any previous experiences where you managed teams or led projects. Highlighting your ability to oversee compliance initiatives will resonate well with the hiring team at Millennium.
✨Tip Number 4
Prepare for potential interview questions by practising responses that reflect your analytical mindset and problem-solving abilities. Be ready to discuss specific examples of how you've handled regulatory inquiries or compliance challenges in the past.
We think you need these skills to ace Senior Compliance Officer - Surveillance & Transaction Reporting
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly in surveillance and transaction reporting. Use specific examples that demonstrate your understanding of EMEA regulations and your ability to manage compliance programmes.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and Millennium as a company. Discuss your leadership experience and how it aligns with the responsibilities of overseeing the EMEA Surveillance and Transaction Reporting Compliance Team.
Highlight Relevant Skills: Emphasise your analytical mindset and experience with regulatory inquiries. Mention any specific tools or technologies you are proficient in, such as MS PowerPoint, Excel VBA Macros, or data analytics tools, as these are valuable for the role.
Showcase Your Interpersonal Skills: Since the role requires interaction with various departments, highlight your strong interpersonal skills. Provide examples of how you've successfully collaborated with teams or led projects in high-pressure environments.
How to prepare for a job interview at Millennium
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the EMEA regulatory environment, especially MiFID II and other relevant regulations. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Leadership Experience
Prepare examples from your past where you've successfully led a team or managed compliance projects. Highlighting your leadership skills will be crucial, as this role involves overseeing a team.
✨Showcase Analytical Skills
Be ready to discuss your experience with surveillance and transaction monitoring. Use specific examples to illustrate your analytical mindset and how you've tackled complex compliance issues in the past.
✨Prepare for Scenario-Based Questions
Expect questions that require you to think on your feet. Prepare for scenario-based questions related to compliance challenges, and think about how you would approach them, demonstrating your problem-solving abilities.
