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Millennium · 4 days ago

Compliance Associate

Miami, FL

Full-time

Onsite

Senior Level

5+ years exp

Millennium is a company focused on compliance and trading markets, and they are seeking a Compliance Associate. The role involves conducting trading surveillance reviews, monitoring reports, and maintaining compliance records while managing various compliance-related projects.

Asset ManagementFinanceFinancial ServicesHedge Funds

H1B Sponsor Likely

Responsibilities

General trading surveillance reviews, including focus on potential market manipulation and insider trading

Monitoring daily surveillance reports using exception reports and other tools

Review Trade alerts and escalate findings as needed

Undertaking special compliance related projects as assigned

Maintaining accurate, organized compliance books and records

Qualification

Surveillance experienceEquityFutures marketAdvanced Excel proficiencySeries 7Nasdaq Trade Surveillance SystemActimizeTableauAnalytical skillsCommunication skillsCreative problem-solvingAttention to detailTeam player

Required

5+ years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal

Strong communication and analytical skills

Creative problem-solving abilities

Ability to manage multiple tasks simultaneously

Strong attention to detail with a solid sense for discretionary escalation

Ability to identify complex problems and evaluate options based on related information

Highly motivated self-starter with flexibility to work under pressure and meet deadlines

Team player with enthusiasm for trading markets

Advanced proficiency in Excel, particularly in working with large data sets

Preferred

Specific experience in equity or futures market is preferred

Bachelor's degree in Finance, Economics or similar is preferred

Series 7 or 3 is a plus

Experience in Nasdaq Trade Surveillance System (NTS), Actimize, or Tableau is a plus

Familiarity with creating and maintaining metrics reporting dashboards to track compliance activities and performance

Company

Millennium

Glassdoor3.7

Millennium is a global, diversified alternative investment firm, founded in 1989, which manages $83.5 billion in assets.

Founded in 1989

New York, New York, USA

5001-10000 employees

https://www.mlp.com

H1B Sponsorship

Millennium has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

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Trends of Total Sponsorships

2025 (264)

2024 (146)

2023 (156)

2022 (146)

2021 (73)

2020 (86)