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- Aufgaben: Join our Compliance team to ensure trading integrity and monitor market activities.
- Arbeitgeber: Millennium is a leading financial services firm focused on compliance and regulatory excellence.
- Mitarbeitervorteile: Enjoy a dynamic work environment with opportunities for travel and professional growth.
- Warum dieser Job: Be part of a crucial role that impacts market fairness and compliance culture.
- Gewünschte Qualifikationen: Experience in compliance or regulatory roles, especially in trading and surveillance systems.
- Andere Informationen: Ideal for detail-oriented individuals who thrive in fast-paced environments.
Das voraussichtliche Gehalt liegt zwischen 48000 - 84000 € pro Jahr.
Compliance Officer (Zurich/Zug)
Compliance Officer
The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are currently seeking a Compliance Officer to join our Zurich office (with regular travel to our Zug office).
Principal Responsibilities
- Provide on desk Compliance coverage for trading teams
- Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
- Identification and escalation of potentially suspicious order, trade and communications activity
- Conducting ad hoc reviews and analysis of activity to identify potentially suspicious activity and/or patterns or repeated activity
- Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected
- Assist in the maintenance of the Firm’s compliance program and records
- Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
- Assist in the administration and review of compliance certifications, which may include sensitive information relating to conduct
- Monitor regulatory changes, updates and industry-wide compliance initiatives
- Assist in improving the accuracy and efficiency of Compliance processes
- Assist in maintenance of procedure manuals as and when required
- Assist in the preparation of compliance reports and presentations for management
- Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
- Prepare and conduct compliance trainings
- Schedule and maintain Compliance logs and materials
- Participate in working groups and other projects as needed
Qualifications/Skills Required
- Experience at a regulatory authority or in the Compliance department of a financial services company
- Strong knowledge of trading, particularly equities and derivatives
- Regulatory background in global markets
- Demonstrable experience working with trade and communication surveillance systems and alerts and investigating associated conduct issues
- Ideally have experience in compliance monitoring
- Ability to quickly grasp an understanding of alert triggers and trading behaviour
- Strong attention to detail and accuracy essential as well as organization skills
- Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
- Good team player with a strong willingness to participate and help others
- Able to prioritize in a fast moving, high pressure, constantly changing environment; high sense of urgency
- Strong communication skills
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Compliance Officer (Zurich/Zug) Arbeitgeber: Millennium Management
Kontaktperson:
Millennium Management HR Team
StudySmarter Bewerbungstipps 🤫
So bekommst du den Job: Compliance Officer (Zurich/Zug)
✨Tip Number 1
Familiarize yourself with the specific compliance regulations and laws that apply to the financial services industry in Switzerland. This knowledge will not only help you during interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in Zurich or Zug. Attend industry events or join relevant online forums to connect with potential colleagues and learn more about the local compliance landscape.
✨Tip Number 3
Stay updated on recent developments in trading practices, particularly in equities and derivatives. Being knowledgeable about current trends and regulatory changes will set you apart as a candidate who is proactive and informed.
✨Tip Number 4
Prepare to discuss your experience with trade and communication surveillance systems in detail. Be ready to provide examples of how you've handled alerts and investigations in previous roles, showcasing your analytical skills and attention to detail.
Diese Fähigkeiten machen dich zur top Bewerber*in für die Stelle: Compliance Officer (Zurich/Zug)
Tipps für deine Bewerbung 🫡
Understand the Role: Make sure to thoroughly read the job description for the Compliance Officer position. Understand the key responsibilities and qualifications required, as this will help you tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasize any previous experience in compliance, particularly within financial services. Mention specific examples of your work with trade and communication surveillance systems, as well as any regulatory background you possess.
Showcase Communication Skills: Since outstanding verbal and written communication skills are essential for this role, provide examples in your application that demonstrate your ability to communicate effectively with various stakeholders. This could include past experiences where you interacted with internal clients or presented compliance reports.
Tailor Your Application: Customize your cover letter to reflect your understanding of Millennium's compliance program and how your skills align with their needs. Mention your attention to detail and organizational skills, as these are crucial for the Compliance Officer role.
Wie du dich auf ein Vorstellungsgespräch bei Millennium Management vorbereitest
✨Understand the Compliance Landscape
Make sure you have a solid grasp of the current regulatory environment, especially in global markets. Familiarize yourself with recent changes and how they might impact trading activities.
✨Showcase Your Analytical Skills
Be prepared to discuss your experience with trade and communication surveillance systems. Highlight specific instances where you've identified suspicious activity and how you handled it.
✨Demonstrate Strong Communication Abilities
Since the role requires interaction with internal clients at all levels, practice articulating your thoughts clearly and confidently. Prepare examples that showcase your verbal and written communication skills.
✨Emphasize Team Collaboration
As a Compliance Officer, being a good team player is crucial. Share experiences where you've successfully collaborated with others, particularly in high-pressure situations.
