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Millennium · 1 day ago

Senior Compliance Officer

Old Greenwich, CT

Full-time

Onsite

Senior Level, Lead/Staff

14+ years exp

Millennium is a company that provides compliance support to WorldQuant Millennium Advisors. They are seeking a Senior Compliance Officer to conduct compliance reviews, assist with regulatory examinations, and monitor global regulatory changes.

Asset ManagementFinanceFinancial ServicesHedge Funds

H1B Sponsor Likely

Responsibilities

Provide ongoing compliance support to WorldQuant Millennium Advisors (“WMA”)

Conduct ongoing WMA compliance reviews

Address compliance-related items for the launches of new WMA funds and separately managed accounts (“SMAs”)

Assist with regulatory examinations, inquiries, investigations and projects, as necessary

Monitor global regulatory changes, updates and industry-wide compliance initiatives

Assist with drafting and amending compliance-related policies and procedures

Create and implement additional WMA compliance reviews

Review marketing materials for WMA funds and SMAs

Prepare and conduct compliance trainings

Qualification

Investment Management ComplianceRegulatory Authority ExperienceAlgorithmic Trading KnowledgeGlobal Financial Markets UnderstandingAnalytical Problem-SolvingCommunication SkillsTeam PlayerPresentation Skills

Required

14+ years of experience at a regulatory authority, bank/broker or buy-side firm

Investment Management Compliance experience, inclusive of addressing regulatory items related to launching and ongoing compliance oversight of funds and SMAs

Strong analytical / conceptual problem-solving skills with attention to detail

Strong sense of ownership and personal responsibility

Ability to prioritize, multi-task, and manage deadlines while successfully completing assignments

Strong written and verbal communication skills, as well as the ability to coordinate efforts and projects across teams and departments

Ability to create presentation materials for senior management

Good team player with a strong willingness to participate and help others

Preferred

Experience with addressing algorithmic/systematic trading matters is preferred, with an understanding of model-based trading and investment/execution algorithms

Bachelor's degree in Computer Science, Finance, Economics or similar with a strong academic record is preferred

Law degree is preferred

An understanding of global financial markets, including market structure, is preferred

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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2025 (264)

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2021 (73)

2020 (86)