Compliance Analyst - Primary Research

Point72 • New York, NY

2h • $100,000 - $120,000

About The Position

The Point72 Compliance department is an industry-leading team of compliance professionals that supports 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 the success of Point72, and our compliance professionals are embedded in investment professional and investment services teams across the organization. We offer mentorship, a growth path, and the opportunity for a long-term career with us.
As a Compliance Analyst focused on Primary Research Compliance you will maintain and manage the Firm’s policies and procedures regarding the use of consultant networks, independent consultants, and custom projects including but not limited to surveys, bespoke reports, and ad hoc requests to support the broader Compliance group. In this role, you will partner with other team members in Research Compliance while working closely with investment professionals and others around the Firm. Specifically, you will:

Requirements

• 1-3 years of compliance experience in the financial services industry
• Undergraduate degree with a minimum GPA of 3.2 required
• Strong verbal and written communication skills
• Strong analytical, problem-solving, planning, and organizational skills
• Attention to detail and the ability to handle multiple tasks simultaneously
• Team player
• Commitment to the highest ethical standards

Responsibilities

• Conduct oversight of Point72’s interactions with consultants through expert networks, brokers, and direct relationships, ensuring strict adherence to the Firm’s policies and procedures regarding such interactions;
• Chaperone consultant calls for investment professionals and document accordingly;
• Monitor and notate chaperoned calls in proprietary compliance management system, track consultants to ensure appropriate chaperone coverage;
• Assist in the oversight and maintenance of the Firm’s policies and procedures relating to custom projects and surveys requested by discretionary investment professionals;
• Brainstorm and implement ideas for enhancing compliance oversight improvement and more efficient processes; and
• Recommend and draft enhancements to existing policies and procedures.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level