Core Compliance Associate

Who We Are

Millennium Management is a global investment management firm founded in 1989 that manages approximately $74 billion in assets. Millennium has more than ~6,000 employees with offices in the United States, Europe, and Asia.

Over the last 35+ years, our mission has remained constant: to deliver the alternative investment industry’s highest quality returns to our investors, and to maintain a commitment to our principles of integrity, discipline, and excellence.

Responsibilities

• Support the maintenance and continuous enhancement of a comprehensive compliance program covering Millennium’s existing onshore business/operations in India, including a high growth center of excellence in Bangalore, leveraging Millennium’s global compliance program;
• Research and analyze all relevant compliance issues, risks, and developments, and provide recommendations to mitigate such issues/risks and prepare for such developments by drafting, amending, designing and implementing appropriate policies, procedures and controls;
• Design, manage and coordinate local compliance training program, including preparing and updating materials for induction, periodic and ad hoc training sessions;
• Undertake monitoring and surveillance in relation to such policies, procedures and controls;
• Conduct internal reviews on and, as appropriate, develop, enhance and maintain such policies, procedures and controls;
• Conduct internal investigations/risk assessments into a variety of compliance related matters, including without limitation employee conduct, and guide/advise on internal conduct related processes in conjunction with other stakeholders;
• Closely collaborate and communicate with Asia compliance and global compliance teams;
• Prepare reports and maintain accurate records of compliance activities, including compliance manuals;
• Assist country, regional and global compliance teams on any ad hoc tasks and projects as may be assigned from time to time;
• Help in setting and fostering a robust governance and compliance culture, ethical practices and ensuring all employees understand and follow regulatory obligations.
  
  

• 8-10 years’ experience at a financial institution or similar organization working on compliance matters;
• Experience implementing and maintaining compliance programs, including drafting, amending, designing and implementing appropriate policies, procedures, training and controls;
• Experience conducting internal investigations and guiding/advising on internal conduct related processes;
• Ability to work with various departments in Millennium and build smooth working relationships;
• Able to prioritize in a fast moving, high pressure, constantly changing environment;
• Strong analytical and problem-solving skills;
• Growth mindset, Detail oriented; Strong communication skills; and Chartered Accountant, Company Secretary, Bachelor’s degree in Finance, Economics, Law or similar field (preferred).