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74 Millennium Management Jobs

Regulatory Compliance Officer

10-12 years

Mumbai

1 vacancy

Regulatory Compliance Officer

Millennium Management

posted 28d ago

Job Description

Regulatory Compliance Officer
Principal Responsibilities
  • This role is heavily focused on regulatory compliance, trade monitoring and surveillance, SEBI rules & regulations.
  • Advise on a full range of compliance and regulatory issues associated with Millennium s growing research business in India and offshore FPI investing into India, working closely with offshore compliance product specialists/trading teams and onshore/offshore management.
  • Research and analyze all relevant compliance issues, risks and developments, and provide recommendations to mitigate such issues/risks and prepare for such developments by drafting, amending, designing and implementing appropriate policies, procedures and controls;
  • Undertake monitoring and surveillance in relation to such policies, procedures and controls;
  • Conduct internal reviews on and, as appropriate, develop, enhance and maintain such policies, procedures and controls;
  • Conduct internal investigations/risk assessments into a variety of compliance related matters;
  • Maintain relationships with SEBI and other local regulators (as well as stock exchanges, depositories, etc.) and prepare for and respond to regulatory inquiries, inspections and surveys as relevant/appropriate;
  • Closely collaborate and communicate with Asia compliance and global compliance teams;
  • Prepare reports and maintain accurate records of compliance activities, including regulatory communications;
  • Assist country, regional and global compliance teams on any ad hoc tasks and projects as may be assigned from time to time;
  • Liaise with local counsel, custodians and brokers on regulatory/compliance issues;
  • Participate in local industry groups as appropriate.
Qualifications/Skills Required
  • 10-12 years experience at a financial institution or similar organization working on compliance matters;
  • Strong knowledge of SEBI rules and regulations, in particular those relating to research and FPIs, and experience responding to inquiries from and managing investigations by SEBI and other local regulators;
  • Experience conducting internal investigations;
  • Ability to work with various departments in Millennium and build smooth working relationships;
  • Able to prioritize in a fast moving, high pressure, constantly changing environment;
  • Strong analytical and problem-solving skills;
  • Growth mindset;
  • Detail oriented;
  • Strong communication skills; and
  • Bachelor s/Post Graduate degree(s) in Finance, Economics, Law or similar field (preferred).

Employment Type: Full Time, Permanent

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What people at Millennium Management are saying

What Millennium Management employees are saying about work life

based on 37 employees
52%
32%
38%
92%
Strict timing
Monday to Friday
Within city
Day Shift
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Millennium Management Benefits

Free Transport
Job Training
Free Food
Cafeteria
Team Outings
Gymnasium +6 more
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