<p>Compliance Analyst</p> <p>Principal Responsibilities</p> <ul> <li>Perform email reviews of trading groups for internal investigations </li><li>Prepare weekly and monthly memos based on email surveillance review </li><li>Assist in the development of policies and procedures that reflect changes in business, regulation and developing views on issues </li><li>Keep up to date with relevant regulatory changes </li><li>Other projects as needed </li></ul> <p>Qualifications/Skills Required</p> <ul> <li>BA degree; 1-2 years' experience. College graduates will be considered as well, but must have a business degree (Finance, Economics, etc.). </li><li>Experience in a compliance position at a RIA or Broker Dealer preferred or a strong interest in compliance </li><li>Understanding of regulatory/self-regulatory agencies (e.g., FINRA, NYSE, FSA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 </li><li>Good team player - one who is able to prioritize in a fast moving, high pressure, constantly changing environment </li><li>Entrepreneurial inclination - ability to work alone and act as a project manager </li><li>Ability to work with other departments and build smooth working relationships </li><li>Strong writing, analytical and problem solving skills </li><li>Comfortable with different technology applications </li><li>Broad product and financial services industry knowledge a plus </li></ul> <p>The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.</p>