Compliance Associate

Responsibilities

• Aid the FCM’s Chief Compliance Officer in delivering Compliance Advisory services to FCM and Clearing Member business.
• Complete or assist in completing FCM regulatory inquiries and examinations.
• Collaborate to ensure compliance calendar deadlines are met.
• Develop or assist in developing FCM policies and procedures.
• Address FCM business questions.
• Support FCM related compliance matters.
• Ensure adherence to the FCM’s regulatory requirements under NFA, CFTC, CME, FICC and other applicable organizations.
• Reviews of electronic communications.
• Undertake special compliance related projects as assigned.
• Maintain accurate and organized compliance books and records.

Qualifications/Skills

• Bachelor’s degree in Finance, Economics or a related field, with a strong academic record.
• 3+ years of experience; prior compliance and/or regulatory reporting experience at a registered FCM and CME Clearing Member.
• Experience in the securities and trading industry preferred.
• Knowledge of US financial markets, clearing, trading, and regulatory reporting.
• Experience working with FCM bookkeeping systems (e.g., GMI).
• Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis.
• Strong attention to detail, organization, and effective communication skills, both verbal and written.
• Ability to work effectively and independently with all levels of management and staff.
• Ability to handle several tasks simultaneously.
• Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options.
• Proficient to advanced computer skills including Bloomberg, MS Outlook, Word, Excel and PowerPoint.

Pay

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.