Compliance Officer

About the role

The Compliance Department at Millennium is responsible for adopting, implementing, and enforcing the firm’s compliance program across policies, procedures, processes, systems, controls, surveillance, testing, and reporting. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.

Responsibilities

• Congduct trade surveillance reviews with a focus on identifying potential market manipulation and insider trading activity
• Monitor daily surveillance reports using exception reports and other surveillance tools to identify potential issues
• Review trade alerts, assess findings, and escalate matters as appropriate
• Support special compliance projects and broader team initiatives as assigned
• Maintain accurate, complete, and well-organized compliance books and records
• Help develop and maintain metrics reporting dashboards to track compliance activity and performance

Requirements

• 8+ years of surveillance or related compliance experience, ideally at a regulator, bank or broker, or buy-side firm
• Experience with options and/or futures markets preferred
• Strong analytical skills, sound judgment, and clear communication abilities
• High attention to detail with the ability to manage multiple priorities effectively
• Advanced Excel skills; experience with NTS, Actimize, or Tableau is a plus
• Familiarity with building and maintaining metrics reporting dashboards for compliance tracking and performance reporting

Qualifications

• Bachelor’s degree preferred
• Series 7 or Series 3 is a plus

Pay

Salary Range: $160,000 to $250,000, based on location and experience.

Schedule

Full-time