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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 a Compliance Analyst to join our London team.
* Assist in the maintenance of Millennium’s compliance programme and records with a primary focus on Personal Account Dealing (PAD) policy and controls for EMEA
* Assist with account onboarding, trade pre-approvals, monitoring, surveillance and reconciliation
* Assist in the administration and review of compliance certifications, which may include sensitive information relating to conduct
* Assist in the maintenance of the Firm’s compliance programme and records
* Communicate personal account onboarding and personal dealing requirements to new recruits
* Frequently identify, escalate and remediate policy breaches
* Assist in improving the accuracy and efficiency of Compliance processes
* Perform Compliance sampling and testing
* Assist in testing new Compliance applications and workflow solutions
* Assist in the preparation of compliance reports and presentations, including collating and preparing management information
* Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
* Involvement with monitoring, testing and surveillance
* Interact with employees across all areas and at all levels of seniority
* Schedule and maintain training logs and materials
* Participate in working groups and other projects as needed
Qualifications/Skills Required
* Proficient in Microsoft Office Suite: Excel, Word, PowerPoint
* Strong attention to detail
* Familiarity with asset management industry regulations, such as MiFID & AIFMD preferable
* Previous experience working in a Bank/Asset Manager preferable
* Strong oral and written communication 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
* Strong verbal/written communication and interpersonal skills
* Hardworking, friendly, honest, enthusiastic, with a strong commitment to maintaining the highest ethical standards
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