Research associate Jobs in Miami, FL

Research Compliance Associate

Responsibilities

• Administer the Firm’s research compliance program including the initial due diligence and ongoing surveillance of third-party research providers.
• Administer the Firm’s data compliance program including the initial due diligence and ongoing surveillance of third party alternative data providers and internal web-scraping activities.
• Assist the investigation and handling of the receipt of improper information including but not limited to material non-public information (MNPI) and personal identifiable information (PII).
• General trading surveillance reviews, including focus on potential market manipulation and insider trading
• Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
• Prepare and conduct compliance trainings.
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
• Draft and amend compliance related policies and procedures
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Undertake and lead special compliance related projects involving various inter-department stakeholders

Qualifications

Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. 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. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.