Compliance Associate, Trading Compliance

Point72 • Stamford, CT

3d

About The Position

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.

Requirements

• 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

Responsibilities

• 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

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed