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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 the financial sector.
- Benefits: Enjoy competitive perks, a collaborative culture, and opportunities for professional growth.
- Other info: Ideal for detail-oriented individuals who thrive in fast-paced environments.
- Why this job: Be part of a team that shapes compliance strategies and impacts the financial industry positively.
- Qualifications: 10+ years in compliance, strong regulatory knowledge, and team leadership experience required.
The predicted salary is between 43200 - 72000 £ 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 - Surveillance & Transaction Reporting. employer: Millennium Management
Contact Detail:
Millennium Management Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer - Surveillance & Transaction Reporting.
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in EMEA markets. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance and regulatory requirements.
✨Tip Number 2
Familiarise yourself with the specific compliance frameworks and regulations relevant to the role, such as MiFID II and EU short sale regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss your previous experiences leading teams and managing compliance projects. Be ready to share specific examples of how you've successfully navigated regulatory inquiries or audits, showcasing your leadership and problem-solving skills.
✨Tip Number 4
Highlight your analytical skills and experience with surveillance and transaction monitoring. Be prepared to discuss how you've used data analytics tools in past roles to enhance compliance processes and ensure adherence to regulations.
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. Emphasise your leadership roles and any specific projects that align with the responsibilities outlined in the job description.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of EMEA compliance regulations and your experience in managing compliance teams. Use specific examples to demonstrate your analytical mindset and ability to handle regulatory inquiries.
Highlight Relevant Skills: In your application, clearly outline your skills related to compliance oversight, regulatory reporting, and your familiarity with tools like MS PowerPoint and Excel VBA Macros. This will show that you have the technical expertise needed for the role.
Showcase Your Interpersonal Skills: Since the role requires strong interpersonal skills, include examples of how you've successfully collaborated with different departments or led teams in previous positions. This will help convey your ability to work effectively within a team and across various levels of the organisation.
How to prepare for a job interview at Millennium Management
✨Showcase Your Regulatory Knowledge
Make sure to brush up on the latest regulations relevant to EMEA markets, especially MiFID II and short sale reporting. Demonstrating a solid understanding of these regulations will show that you're not just familiar with compliance but are also proactive in keeping up with industry changes.
✨Highlight Team 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 through regulatory inquiries or compliance projects, showcasing your ability to motivate and guide others.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past challenges you've faced in compliance roles and how you navigated them. This will demonstrate your analytical mindset and ability to handle pressure.
✨Demonstrate Your Technical Proficiency
Familiarise yourself with the technology applications mentioned in the job description, such as MS PowerPoint, Excel VBA Macros, and Tableau. Be ready to discuss how you've used these tools in your previous roles to enhance compliance processes or reporting.