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- Tasks: Lead compliance initiatives and oversee surveillance and transaction reporting in a dynamic environment.
- Company: Join a leading firm committed to compliance excellence and innovation.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Why this job: Make a real impact in compliance while working with diverse teams and cutting-edge technology.
- Qualifications: 10+ years in compliance, strong leadership skills, and a solid understanding of EMEA regulations.
- Other info: Fast-paced role with opportunities to engage in special projects and continuous learning.
The predicted salary is between 72000 - 108000 £ per year.
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
Senior Compliance Officer. in London employer: Millennium Management
Contact Detail:
Millennium Management Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer. in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work at Millennium or similar firms. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of EMEA regulations and compliance processes. We recommend creating a cheat sheet of key points to discuss, so you can impress the interviewers with your expertise.
✨Tip Number 3
Showcase your analytical skills! During interviews, be ready to share examples of how you've tackled compliance challenges in the past. Use the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Senior Compliance Officer. in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your relevant experience in compliance, especially in EMEA markets, and showcase any leadership roles you've had. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this position. Mention specific experiences that relate to the responsibilities listed in the job description, and don’t forget to show your enthusiasm for joining our team at StudySmarter.
Showcase Your Skills: In your application, make sure to highlight your analytical mindset and experience with surveillance and transaction monitoring. We’re looking for someone who can multi-task and thrive in a fast-paced environment, so give us examples of how you’ve done this in the past!
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 serious about joining StudySmarter!
How to prepare for a job interview at Millennium Management
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to EMEA markets. Familiarise yourself with MiFID II and other key regulations, as well as the specifics of algorithmic trading compliance. This will show that you're not just a candidate, but someone who understands the landscape.
✨Showcase Your Leadership Skills
Since this role involves managing a team, be prepared to discuss your previous leadership experiences. Think of specific examples where you've led a team through regulatory inquiries or audits. Highlight how you motivated your team and ensured compliance standards were met.
✨Demonstrate Your Analytical Mindset
Given the focus on surveillance and transaction monitoring, come ready to discuss your analytical skills. Prepare to share instances where your forensic approach helped identify compliance issues or improved processes. Use data to back up your claims if possible!
✨Be Ready to Multi-task
This role requires juggling multiple responsibilities, so be prepared to discuss how you manage competing deadlines. Share strategies you use to prioritise tasks in high-pressure environments, and give examples of how you've successfully handled similar situations in the past.
