Compliance Officer
Role: Compliance Officer
Department: Compliance
Location: London
The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance programme, 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 an experienced Compliance Officer to join our London Compliance Team to assist in overseeing the Personal Account Dealing programme and perform other core functions.
Principal Responsibilities:
- Oversee the Compliance programme for Personal Account Dealing across EMEA
- Assist with account onboarding and initial certifications, trade pre-approvals, monitoring, surveillance and reconciliation
- Meet one-on-one with new recruits in order to explain personal account onboarding and personal dealing requirements
- Interact with employees across the Firm at all levels of seniority
- Frequently identify, elevate and remediate policy breaches
- Assist in improving the accuracy and efficiency of Compliance processes
- Assist in testing new Compliance applications and workflow solutions
- Frequently engage with, perform due diligence on, and onboard external personal account brokers
- Assist in the preparation of Compliance reports and presentations, including collating and preparing management information
- Deliver in-person and video Compliance training (both induction and annual) to EMEA employees, covering Compliance programme requirements
- Perform Compliance sampling and testing
- Assist in the maintenance of the Firm's compliance programme and records
- Assist in the maintenance and administration of compliance disclosures and preapproval requests
- Provide support in maintaining the Conflict/Risk Assessment
- Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
- Assist in scheduling and maintaining training logs and materials
- Participate in working groups and other projects as needed
Qualifications/Skills Required:
- Bachelor's degree and 7+ years of experience working in Compliance or equivalent risk oversight role
- Ability to coordinate, lead and inspire team members across multiple offices, jurisdictions, and time zones
- Strong attention to detail
- Strong verbal/written communication and interpersonal skills
- Ability to work on multiple tasks simultaneously
- Effective time-management and organisational skills
- Ability to work autonomously and proactively but also within a collaborative, consensus driven environment
- Ability to adapt to new situations quickly
- Hardworking, friendly, honest, enthusiastic
- Proficient in Microsoft Office Suite: Excel, Word, PowerPoint
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