Compliance Associate
Millennium Management · Singapore · 19d ago
About Millennium
Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium's mission is to deliver results for our investors.
Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time. Discover how transformative growth accelerates impact.
Meet the Team
The Compliance Department at Millennium is responsible for adopting, implementing and enforcing the Firm's compliance program across policies, procedures, processes, systems, controls, surveillance, testing and reporting. The team works closely with stakeholders across the business to help prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies, while supporting a strong culture of professionalism, accountability and control.
This role sits in the Singapore office and forms part of the Asia Compliance team, supporting the Firm's global compliance program in Singapore. We welcome applications from experienced compliance professionals and from senior paralegals or legal executives looking to move into a regulatory compliance function; the role is a strong fit for anyone with a disciplined, document- and deadline-driven background in financial services or private practice.
This is a compliance role and does not involve the provision of legal advice or the practice of law.
What You'll Do
- Support the delivery of the Firm’s global compliance programme in Singapore, including regulatory filings, examinations, investigations, inquiries, audits and inspections.
- Administer and oversee the Firm’s Code of Ethics and personal trading policies through relevant compliance systems and tools.
- Manage key elements of the personal trading programme end-to-end, including disclosures, pre-approval requests, reconciliations and trade monitoring, in line with regulatory requirements.
- Act as a trusted adviser to employees and senior stakeholders on personal trading, disclosure obligations, and policy and regulatory interpretation.
- Support Singapore regulatory obligations, including MAS licensing, representative notifications, periodic regulatory returns and fit-and-proper requirements.
- Prepare, review and maintain regulatory filings, submissions and responses to regulatory requests, ensuring timely delivery, accurate records and a clear audit trail.
- Maintain local policies, procedures and compliance registers; monitor regulatory developments; conduct regulatory research; and escalate matters requiring legal advice to Legal or external counsel, as appropriate.
- Respond to KYC, AML and sanctions-related queries from brokers and counterparties; conduct periodic AML-related reviews; coordinate local certifications, attestations, conduct training; and support compliance reporting, trend analysis, control enhancements, system improvements and other compliance initiatives.
What You Bring
- At least 5 years’ relevant experience in a financial-services control function within a financial institution; or in a paralegal, legal executive or legal support role within a financial institution, asset manager or law firm.
- For legal support candidates, exposure to financial-services regulation, funds, corporate secretarial work or regulatory filings is preferred.
- A bachelor’s degree, recognised paralegal or legal studies qualification, or an equivalent record of achievement.
- Strong knowledge of, or the ability to quickly develop expertise in, regulatory compliance, personal trading, the Code of Ethics and employee compliance matters.
- Familiarity with Singapore’s regulatory framework—including the SFA, FAA, and relevant MAS notices and guidelines—is advantageous.
- Strong drafting, document-management and research skills, with the discipline to maintain accurate records and meet hard filing deadlines.
- Demonstrated ability to manage processes independently, identify control gaps, exercise sound judgement and drive matters through to resolution, with a proactive approach to improving processes and controls.
- Clear, professional written and verbal communication skills; strong organisation, attention to detail and follow-through; the ability to manage competing priorities in a fast-paced, evolving environment; and a collaborative, discreet and professional approach. Experience with compliance systems, data and reporting tools is a plus.