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Compliance Associate at MILLENNIUM CAPITAL MANAGEMENT SINGAPORE PTE LTD

Miami, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

03 Jan, 26

Salary

0.0

Posted On

05 Oct, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Market Manipulation, Insider Trading, Surveillance Reports, Trade Alerts, Analytical Skills, Problem-Solving, Attention to Detail, Excel, Data Sets, Nasdaq Trade Surveillance System, Actimize, Tableau, Metrics Reporting, Communication Skills, Team Player

Industry

Investment Management

Description

Compliance Associate Job Description 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 Qualifications/Skills Required 5+ years of experience. Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal. 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. 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. 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. This role is ideal for candidates who thrive in a fast-paced environment, possess a keen eye for detail, and have a passion for compliance and trading markets. The ability to generate and interpret metrics reports will be a key component of success in this position.

Responsibilities

The Compliance Associate will conduct general trading surveillance reviews, focusing on potential market manipulation and insider trading. Responsibilities include monitoring daily surveillance reports, reviewing trade alerts, and maintaining organized compliance records.