Senior Surveillance Associate

Point72 • Stamford, CT

5d

About The Position

Point72’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. We support senior management by providing strategic assessments, actionable recommendations, and real-time escalations. At Point72, members of the Surveillance team conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for our internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.

Requirements

• A bachelor’s degree, master’s degree preferred, from an accredited institution with five or more years of prior professional experience working as an intelligence analyst, investigator, or in a closely related role.
• Strong analytical and problem-solving skills, and excellent attention to detail.
• Proven effectiveness in written and verbal communication.
• The ability to exercise sound judgement and observe the highest degree of confidentiality and discretion when handling highly sensitive information.
• The ability to adapt to changing priorities to meet business needs.
• Commitment to the highest ethical standards.

Nice To Haves

• prior experience working in the US Intelligence Community

Responsibilities

• Conduct routine trade surveillance and investigations.
• Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and Firm policies, and escalate suspicious or non-compliant events.
• Craft intelligence questions, and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis, not simply information.
• Use tools and methodologies such as structured analytic techniques to improve analysis, check assumptions, and identify signposts or indicators of change.
• Work with managers to respond to information requests from financial regulators and ad-hoc taskings from members of the senior management team.
• Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies.
• Leverage resources, technology, and information to minimize risk and protect the firm.

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: Senior