Hiring: Compliance Associate - Experts & Research Company: Millennium Location: New York, NY Job Posted Time: 2026-09-16 18:40:56 Target Skills & Keywords : Microsoft Excel, Risk Management, Series 7 About the job Experience: •5+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm Required Skills: •Actively facilitate and support administration of the firm’s expert compliance program, including initial due diligence and ongoing surveillance of expert network and sell-side experts •Actively facilitate and support administration of the firm’s research compliance program, including initial due diligence and ongoing surveillance of third-party research and alternative data providers •Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading •Partner closely with business and advisory compliance teams to provide timely guidance to firm personnel on compliance matters •Prepare and deliver compliance training to support awareness and adherence to firm requirements •Assist with regulatory examinations, inquiries, investigations and related compliance projects as needed •Draft, review and update compliance-related policies and procedures •Monitor regulatory developments and industry-wide compliance initiatives, and lead special projects involving cross-functional stakeholders Qualifications: •3-5+ years of relevant experience, ideally in due diligence, surveillance or a related compliance function at a regulatory authority, bank, broker-dealer or buy-side firm •Direct experience in research compliance or expert compliance •Bachelor’s degree in Finance, Economics or a related field preferred •Law degree preferred but not required •FINRA SIE, Series 7 or Series 3 licenses, or an IACCP designation, are a plus •Strong attention to detail, sound organizational skills and a clear sense of ownership •Clear written and verbal communication skills, with the ability to manage multiple priorities independently in a fast-paced environment •Strong analytical and problem-solving skills, a collaborative mindset and proficiency in Excel, including work with large data sets Compensation: •$70,000 - $160,000 / year •Competitive benefits and rewards package •Millennium offers a total compensation package which includes a base salary, discretionary performance bonus, and comprehensive benefits Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!