Compliance Officer

Charlotte, NC

The Role

Millennium Advisors, LLC is looking for a highly skilled Fixed Income Compliance Professional with a minimum of 3 years of experience in a self-clearing environment. The ideal candidate will have an understanding of Fixed Income trading compliance, along with a strong knowledge of FINRA rules and regulations. The candidate should be comfortable working in a fast-paced environment and possess the ability to quickly comprehend and execute on compliance matters.

Key Responsibilities:

  • Maintain in-depth knowledge of the business and its activities to ensure adequate compliance oversight and resources as business needs evolve over time; advise on emerging compliance issues
  • Provide compliance guidance and partnerships throughout the firm
  • Assist in creating, when applicable, and maintaining policies and procedures contained in the firm’s Written Supervisory Procedures and anti-money laundering program
  • Participate in responses to FINRA exams and inquiries, conduct firm and individual registration maintenance on FINRA Gateway
  • Identify/respond to ongoing regulatory changes, ensure implementation of required policies/procedures and appropriate operational/compliance oversight
  • Assist with annual compliance program review and testing
  • Perform periodic tests to monitor the efficiency of the compliance program and assist in the preparation of annual compliance reports and other ad hoc reviews
  • Liaise with various groups and individuals at all levels throughout the firm as needed
  • Assist in training and Education: Provide compliance training and guidance to staff involved in fixed income trading, ensuring they are well-informed and knowledgeable about compliance requirements.
  • Stay up to date with changes in regulations and industry trends related to fixed income trading, and ensure the company’s compliance practices are in line with these developments.

Skills / Experience:

  • Bachelor’s Degree
  • At least 3 years of industry experience in a self-clearing environment
  • FINRA Series 7, 63
  • Strong interpersonal, oral, and written communication skills
  • Detail-oriented with strong decision-making and analytical skills
  • Understanding of fixed income products, markets, and trading strategies is a plus
  • Strong knowledge of FINRA rules and regulations, with a focus on fixed income trading is a plus

Compensation and Benefits

In return for long-term commitment, we offer competitive compensation, including base pay and incentive compensation (which can include equity in the firm, subject to compensation agreements) and relocation assistance. Benefits include daily breakfast and catered lunch, monthly massages, paid time off, various leaves, company-sponsored medical and dental plans, long-term disability coverage, as well as a 401(k) plan with company matching contributions.

Culture

At Millennium, you will work with intelligent, ambitious, friendly, and positive individuals. We are proud of the team and culture we have built. The office hosts amenities and activities to give our team members opportunities to get to know one another and build meaningful relationships. We have a casual dress code, and our office sports pool and ping pong tables, music, group dining tables, and various comfortable meeting areas for collaboration.

This is an on-site role in Charlotte, NC. 

Interested candidates should send resumes to recruiting@millenniumadvisors.com.

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