Millennium
Compliance Analyst
$70K–$160K
New York, New York · On-site · Full-time · Posted Sep 18, 2026
- Experience
- 1–2 years of relevant experience.
- Education
- Bachelor’s degree, preferably in Business, Finance, Economics, or a related field.
About the job
Conduct communications surveillance and investigations, document review findings, and support the development of compliance policies and monitoring programs.
What you'll do
- Review trading-team communications and conduct targeted searches for internal investigations; prepare weekly and monthly memoranda summarizing surveillance findings.
- Support compliance policy and procedure updates in response to business changes, regulatory developments, and emerging risks.
- Monitor regulatory developments and contribute to projects that improve the communications monitoring program.
What they ask for
- Bachelor’s degree, preferably in Business, Finance, Economics, or a related field.
- Strong understanding of applicable regulatory requirements, including SEC rules and other regulatory expectations.
- Strong writing, analytical, and problem-solving skills.
- Proficiency in Microsoft Excel, Word, and PowerPoint.
Nice to have
- Prior experience conducting electronic communications reviews within a Registered Investment Adviser or broker-dealer.
Pay
$70,000 to $160,000 (base salary; specific to New York)
Tools
Microsoft Excel, Word, PowerPoint
Model-written summary · the original posting is authoritative