Principal Responsibilities

• Perform email reviews of trading groups for internal investigations
• Prepare weekly and monthly memos based on email surveillance review
• Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues
• Keep up to date with relevant regulatory changes
• Other projects as needed

Qualifications/Skills Required

• BA degree; 1-2 years’ experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.).
• Experience in a compliance position at a RIA or Broker Dealer preferred or a strong interest in compliance
• Understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933
• Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
• Entrepreneurial inclination – ability to work alone and act as a project manager
• Ability to work with other departments and build smooth working relationships
• Strong writing, analytical and problem solving skills
• Comfortable with different technology applications
• Broad product and financial services industry knowledge a plus

The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.