Personal Account Dealing - Compliance

Personal Account Dealing - Compliance

Role Overview 
Millennium is hiring a Compliance Analyst to join a growing team in Bangalore to support the EMEA compliance function.  The individual will assist with implementing the compliance framework, with a primary focus on personal account dealing (“PAD”) controls and monitoring.

Global Compliance
Global Compliance manages the firm’s compliance, regulatory and reputational risks through the implementation of a compliance programme designed to support adherence to applicable global laws, rules and regulations. 

Principal Responsibilities: 

• Assist in the maintenance of Millennium’s compliance programme and records with a primary focus on Personal Account Dealing (PAD) policy and controls for EMEA.

• Review of employee personal account dealing requests and queries in line with Millennium’s policies and procedures.

•  Lead and find appropriate resolutions to internal PAD related queries.

• Collect, process and analyze large data sets in a timely manner, including, for example, employee financial statements and internal metrics.

• Maintain a detailed and organized workflow to ensure data entries are complete, accurate and retained.

• Identify and escalate compliance related issues and work with internal stakeholders to appropriately remediate.

•  Involvement in the maintenance of general compliance programme including electronic communication, monitoring and surveillance as well as the Senior Managers and Certification Regime.

• Collaborate and work closely with colleagues globally, specifically those in Bangalore and EMEA.

• Participate in working groups and lead on project deliverables as needed.

Qualifications/Skills: 

• Minimum bachelor’s degree.

• Preferred 1-3 years of financial industry experience (preferably in compliance or other relevant roles).

• Strong Microsoft Office (e.g., Word, Excel and PowerPoint) skills

• An understanding of financial markets and compliance risks.

• Excellent communication skills and the ability to collaborate with team members across all levels globally.

• Detail oriented, organized, and able to work independently.

• Operates with a high degree of accuracy and efficiency.

• Ability to multi-task and manage competing deadlines.

• Ability to adapt to new situations quickly, learn and improve.

•  Hardworking with a commitment to maintain the highest ethical standards.