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Compliance Officer

vor 1 Monat

Zug, Schweiz Millennium Management Vollzeit

Compliance Officer (Zurich/Zug)

Compliance Officer

The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance program, 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 Officer to join our Zurich office (with regular travel to our Zug office).

Principal Responsibilities

  • Provide on desk Compliance coverage for trading teams
  • Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
  • Identification and escalation of potentially suspicious order, trade and communications activity
  • Conducting ad hoc reviews and analysis of activity to identify potentially suspicious activity and/or patterns or repeated activity
  • Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected
  • Assist in the maintenance of the Firm’s compliance program and records
  • Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
  • Assist in the administration and review of compliance certifications, which may include sensitive information relating to conduct
  • Monitor regulatory changes, updates and industry-wide compliance initiatives
  • Assist in improving the accuracy and efficiency of Compliance processes
  • Assist in maintenance of procedure manuals as and when required
  • Assist in the preparation of compliance reports and presentations for management
  • Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
  • Prepare and conduct compliance trainings
  • Schedule and maintain Compliance logs and materials
  • Participate in working groups and other projects as needed

Qualifications/Skills Required

  • Experience at a regulatory authority or in the Compliance department of a financial services company
  • Strong knowledge of trading, particularly equities and derivatives
  • Regulatory background in global markets
  • Demonstrable experience working with trade and communication surveillance systems and alerts and investigating associated conduct issues
  • Ideally have experience in compliance monitoring
  • Ability to quickly grasp an understanding of alert triggers and trading behaviour
  • Strong attention to detail and accuracy essential as well as organization skills
  • Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
  • Good team player with a strong willingness to participate and help others
  • Able to prioritize in a fast moving, high pressure, constantly changing environment; high sense of urgency
  • Strong communication skills
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