Point72

Compliance Associate, Trading Compliance

Stamford, CT · Work style not stated

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About the role

Description from the employer’s posting. Check the employer’s page for the current version.

EmployerPoint72
LocationStamford, CT
Work styleWork style not stated
Employer posted1 month ago

A Career with Point72's Compliance Team

The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us.

What you'll do

Monitor compliance restriction alerts and partner with the broader Compliance team to investigate, escalate, and resolve potential issues
Investigate trading exceptions, prepare concise findings, develop recommendations, and escalate to senior members of Compliance
Manage compliance-related security master data by maintaining accurate mappings, validating underlying information, and resolving issues adversely affecting trading compliance reports
Partner with, among other functions, Technology to implement automated controls, reports, and dashboards that improve visibility and reduce manual intervention
Track open technology issues and compliance projects to support timely resolution
Analyze compliance reports to identify data issues and improve related processes
Support artificial intelligence integration to enhance compliance monitoring tools
Assist with real-time compliance coverage for trade approvals and time-sensitive trading matters

Show full description

What's required

One to three years of compliance experience within an investment manager, hedge fund, or broker-dealer
Basic understanding of multiple asset classes
Experience analyzing data and producing clear written summaries, escalation materials, and remediation plans
Project management experience with the ability to manage multiple projects simultaneously
Experience partnering successfully with cross-functional colleagues
Excellent verbal and written communication skills, with the ability to explain technical compliance topics clearly
Commitment to the highest ethical standards

We take care of our people

We invest in our people, their careers, their health, and their well-being. When you work here, we provide:

Fully-paid health care benefits
Generous parental and family leave policies
Volunteer opportunities
Support for employee-led affinity groups representing women, people of color and the LGBT+ community
Mental and physical wellness programs
Tuition assistance
A 401(k) savings program with an employer match and more

About Point72

Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry's brightest talent by cultivating an investor-led culture and committing to our people's long-term growth. For more information, visit https://point72.com/.

The annual base salary range for this role is $120,000-$150,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.

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