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# Compliance Analyst - Control Room

- **Company:** MILLENNIUM
- **Location:** New York, NY, United States
- **Contract:** Permanent contract
- **Skills:** Microsoft Excel, Big Data
- **Published:** August 5, 2026
- **Apply:** https://us.experteer.com/career/view-jobs/compliance-analyst-control-room-new-york-ny-usa-58830955

## About the Role

restricted * Lead broker compliance activities including due diligence and surveillance * Conduct trading surveillance reviews targeting market manipulation and insider trading * Collaborate with business, legal, and compliance teams to provide practical guidance * Prepare and deliver compliance training, support regulatory examinations, draft/update policies, monitor developments, lead special projects across stakeholders Tasks * 2+ years in due diligence, surveillance or related compliance role at a regulatory authority, bank, broker-dealer or buy-side firm * Experience in control room environment including wall crosses or broker due diligence * Bachelor's degree in Finance, Economics or related field (preferred); law degree (preferred but not required) * FINRA SIE, Series 7 or Series 3 licenses, or IACCP designation a plus * Strong attention to detail and organizational skills * Clear written and verbal communication; ability to work independently and manage multiple priorities * a
aaaA_ analytical and problem-solving skills; collaborative mindset; proficiency in Excel with large data sets Key requirements * base salary * discretionary performance bonus * comprehensive benefits

## Description

Experteer Overview In this role you support Millennium's control room program, focusing on wall crossing, restricted list management, and broker compliance. You'll collaborate with trading, legal, and compliance teams to ensure effective surveillance and regulatory adherence in a fast-paced, global environment. You will drive practical guidance on compliance matters, training, and policy updates, while contributing to ongoing program enhancements. This is an opportunity to shape the firm's control room capabilities and uphold disciplined risk management. You will work closely with cross-functional teams to deliver measurable compliance outcomes. Compensation / Benefits * Support the control room program and wall crossing across public and private investments * Review handling of sensitive information with management and trading teams * Lead management of the Restricted List, including monitoring and enforcement * Enhance Restricted List functionality and its interaction with trading applications * Lead broker compliance activities including due diligence and surveillance * Conduct trading surveillance reviews targeting market manipulation and insider trading * Collaborate with business, legal, and compliance teams to provide practical guidance * Prepare and deliver compliance training, support regulatory examinations, draft/update policies, monitor developments, lead special projects across stakeholders Tasks * 2+ years in due diligence, surveillance or related compliance role at a regulatory authority, bank, broker-dealer or buy-side firm * Experience in control room environment including wall crosses or broker due diligence * Bachelor's degree in Finance, Economics or related field (preferred); law degree (preferred but not required) * FINRA SIE, Series 7 or Series 3 licenses, or IACCP designation a plus * Strong attention to detail and organizational skills * Clear written and verbal communication; ability to work independently and manage multiple priorities * Strong analytical and problem-solving skills; collaborative mindset; proficiency in Excel with large data sets Key requirements * base salary * discretionary performance bonus * comprehensive benefits


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