Compliance Associate, Trading Compliance

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

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/.