FacultyFaculty/Author Profile

Martin Schwartz

Millennium Management, LLC
Senior Managing Director and Chief Compliance Officer
New York, NY, USA


Mr. Schwartz is the Chief Compliance Officer of Millennium Management LLC, the manager of a large multi-strategy hedge fund, with primary responsibility for developing and administering Millennium's regulatory compliance program..

Prior to joining Millennium, Mr. Schwartz practiced law with the law firm Fried Frank Harris Shriver & Jacobson. At Fried Frank, Mr. Schwartz's practice was focused on the regulation of financial institutions under the federal securities laws. Mr. Schwartz counseled clients on a full range of securities law requirements, and represented
clients in connection with SEC and SRO examinations and enforcement actions.

Before entering private practice, Mr. Schwartz was on the staff of the SEC's Division of Trading and Markets (formerly the Division of Market Regulation) at the Office of Financial Responsibility Risk Management and Control. As an SEC staff member, Mr. Schwartz administered the financial responsibility rules relating to broker-dealers.

Mr. Schwartz received a JD from the University of Maryland School of Law, where he was an Articles Editor of the ABA journal The Business Lawyer. Mr. Schwartz is also a Certified Public Accountant.
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