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- Tasks: Lead compliance for EMEA surveillance and transaction reporting, ensuring adherence to regulations.
- Company: Join Millennium, a dynamic firm focused on compliance excellence in financial services.
- Benefits: Enjoy competitive pay, remote work options, and opportunities for professional growth.
- Why this job: Be part of a team that shapes compliance strategies and impacts the financial industry.
- Qualifications: 10+ years in compliance, strong regulatory knowledge, and team leadership experience required.
- Other info: Ideal for detail-oriented individuals who thrive in fast-paced environments.
The predicted salary is between 48000 - 84000 £ per year.
Senior Compliance Officer
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
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Senior Compliance Officer - Surveillance & Transaction Reporting employer: Millennium Management LLC
Contact Detail:
Millennium Management LLC 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. This will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in surveillance and transaction reporting. Engaging in discussions or attending industry events can provide insights and potentially lead to referrals.
✨Tip Number 3
Showcase your leadership skills by discussing any previous experiences where you managed teams or projects. Highlighting your ability to lead regulatory inquiries or audits will set you apart from other candidates.
✨Tip Number 4
Prepare to discuss specific tools and technologies you've used in compliance roles, such as data analytics tools or surveillance systems. Being able to articulate your technical proficiency will demonstrate your readiness for the role.
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: Write a cover letter that clearly outlines your 10+ years of experience in compliance. Emphasise your leadership skills and provide examples of how you've successfully managed teams and projects in high-pressure environments.
Highlight Relevant Skills: In your application, focus on key skills such as regulatory oversight, analytical mindset, and experience with compliance testing. Mention any familiarity with tools like MS PowerPoint, Excel VBA Macros, or Tableau, as these are preferred by the company.
Showcase Your Interpersonal Skills: Since the role requires strong interpersonal skills, include examples of how you've effectively communicated and collaborated with various departments. This will demonstrate your ability to work within a team and liaise with different levels of staff.
How to prepare for a job interview at Millennium Management LLC
✨Showcase Your Regulatory Knowledge
Make sure to brush up on the latest regulations relevant to EMEA markets, especially MiFID II and algorithmic trading compliance. Demonstrating your understanding of these regulations will show that you're not just familiar with the rules but also capable of applying them effectively.
✨Highlight Leadership Experience
Since this role involves managing a team, be prepared to discuss your previous leadership experiences. Share specific examples of how you've successfully led teams or projects, particularly in compliance settings, to illustrate your capability in this area.
✨Prepare for Technical Questions
Expect questions related to surveillance and transaction monitoring processes. Brush up on your knowledge of tools like Nasdaq SMARTS and any data analytics applications you’ve used. Being able to discuss your technical skills confidently will set you apart from other candidates.
✨Demonstrate Your Analytical Mindset
Given the forensic and analytical nature of the role, prepare to discuss how you approach problem-solving and analysis. Use examples from your past work where you identified issues or trends through data analysis, showcasing your attention to detail and thoroughness.
