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- Tasks: Oversee compliance programmes and ensure adherence to regulations while engaging with employees.
- Company: Join a leading firm in London with a strong commitment to compliance and integrity.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Make a real impact by ensuring compliance and fostering a culture of integrity.
- Qualifications: 7+ years in compliance or risk oversight, strong communication skills, and attention to detail.
- Other info: Dynamic role with opportunities for growth and collaboration across multiple teams.
The predicted salary is between 36000 - 60000 £ per year.
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, elevate 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
Compliance Officer employer: Millennium Management LLC
Contact Detail:
Millennium Management LLC Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the hunt for a Compliance Officer role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and practices. Be ready to discuss how you've handled policy breaches in the past and how you can improve compliance processes. Show them you're the expert they need!
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you, and tailor your approach to each company’s culture and compliance needs.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. Mention something specific from the interview to remind them why you’re the perfect fit for their Compliance team.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight your relevant experience in compliance, risk oversight, and any specific achievements that align with the job description. We want to see how your background fits into our Compliance programme!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can help us improve our processes. Be sure to mention any experience with personal account dealing or regulatory requirements.
Show Off Your Communication Skills: Since this role involves interacting with employees at all levels, make sure your written application reflects strong communication skills. Keep your language clear and professional, but don’t be afraid to let your personality shine through!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Millennium Management LLC
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations and practices relevant to the role. Familiarise yourself with the Personal Account Dealing programme and be ready to discuss how you can contribute to its success.
✨Showcase Your Communication Skills
As a Compliance Officer, you'll need to interact with employees at all levels. Prepare examples of how you've effectively communicated complex compliance issues in the past, whether through training sessions or one-on-one meetings.
✨Demonstrate Attention to Detail
Highlight your ability to spot discrepancies and policy breaches. Bring examples from your previous roles where your attention to detail made a significant impact on compliance processes or outcomes.
✨Be Ready for Scenario Questions
Expect to face scenario-based questions that test your problem-solving skills. Think about potential compliance challenges you might encounter and how you would address them, showcasing your proactive approach and teamwork.