At a Glance
- Tasks: Investigate trade alerts and ensure compliance with market regulations.
- Company: Global alternative investment firm focused on innovation and collaboration.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Other info: Fast-paced environment with opportunities for growth and learning.
- Why this job: Join a dynamic team making a real impact in financial compliance.
- Qualifications: Bachelor’s degree and 3+ years of compliance experience required.
The predicted salary is between 59400 - 72600 £ per year.
Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors. Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time.
The Compliance Department at Millennium is responsible for adopting, implementing, and enforcing a compliance program designed to prevent or detect violations of applicable laws, rules, regulatory requirements, and firm policies. In London, the team supports a robust and proportionate surveillance and monitoring framework focused on market abuse and market misconduct risks across products, markets, and trading strategies, partnering closely with stakeholders across the business and control functions.
What You'll Do
- Review and investigate trade surveillance alerts across relevant asset classes, products, and trading venues
- Conduct alert triage, case analysis, escalation, and closure with clear, well-documented rationale
- Build and document investigation timelines using trading, order, market, and other relevant data
- Escalate potentially suspicious activity to senior Compliance, Legal, or other stakeholders, as appropriate
- Support the preparation of internal case summaries, management information, and regulatory reporting, where required
- Assist with the tuning, calibration, and enhancement of surveillance scenarios, thresholds, and parameters
- Help identify surveillance enhancements, data quality requirements, onboarding needs, and control improvements
- Contribute to surveillance reviews, risk assessments, regulatory inquiries, and other compliance-related projects as needed
What You Bring
- Bachelor’s degree, preferably in Business, Finance, Economics, Law, or a related field
- 3+ years of compliance experience within a financial institution, ideally in trade surveillance, with familiarity with relevant regulations
- Solid understanding of the trading lifecycle, market structure, and core market abuse concepts
- Strong analytical and investigative skills, with the ability to assess information and apply sound judgment
- High attention to detail and the ability to document findings clearly, objectively, and thoroughly
- Ability to escalate issues appropriately and collaborate effectively across Compliance, Front Office, Technology, Operations, Risk, and other control functions
- Proven ability to prioritize work and operate effectively in a fast-paced, high-pressure, and evolving environment
- Strong proficiency with technology applications and tools, with an independent and proactive approach to execution
Compliance Associate - Trade Surveillance in London employer: Millennium Management
As a KDB Developer - Equities, you will join a dynamic front office team that thrives on innovation and collaboration, working in a fast-paced environment that values your contributions. Our company offers a supportive work culture with ample opportunities for professional growth, mentorship from experienced developers, and the chance to work on cutting-edge technology platforms that are pivotal to our trading operations. Located in a vibrant financial hub, we provide a unique opportunity to engage directly with investment professionals while enjoying a competitive benefits package and a commitment to work-life balance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Associate - Trade Surveillance in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Millennium Management looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Associate - Trade Surveillance in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Millennium Management. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Millennium Management
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Millennium Management’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
