Point72

Compliance Associate, Trading Compliance

Point72 • $80K — $95K *
Stamford, CT 06902In-Person
Finance & Insurance
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 1-3 years of compliance experience in investment management, hedge funds, or broker-dealers
  • Basic understanding of various asset classes
  • Experience in data analysis and report generation
  • Project management skills with capacity to juggle multiple tasks
  • Collaboration experience with cross-functional teams
  • Strong verbal and written communication abilities
  • Commitment to ethical standards

Responsibilities

  • Monitor compliance alerts and collaborate with the Compliance team to address issues
  • Investigate trading exceptions and report findings to senior Compliance members
  • Maintain and validate compliance-related security master data
  • Work with Technology to create automated compliance controls and reports
  • Track technological issues and compliance projects for timely resolutions
  • Analyze compliance reports to spot data issues and enhance processes
  • Support AI integration to refine compliance monitoring tools
  • Assist with real-time compliance oversight for trading approvals

Benefits

  • Fully-paid health care benefits
  • Generous parental and family leave policies
  • Volunteer opportunities
  • Support for employee-led affinity groups
  • Mental and physical wellness programs
  • Tuition assistance
  • 401(k) savings program with employer match
Full Job Description
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 Asset Management is a hedge fund and family office founded by Steven Cohen in 2014. The company is headquartered in Stamford, Connecticut and manages over $16 billion in assets. Point72 primarily invests in public equity markets, but also has a private equity arm. The company has a global presence with offices in New York, London, Hong Kong, Tokyo, and Singapore. Point72 has been involved in several high-profile legal cases, including a $1.8 billion settlement with the SEC in 2013.
Learn more about Point72
Size
1,500 employees
Industry
Finance & Insurance
Founded
2014
* Ladders Estimates

Similar Jobs

Ad banner background

Get Ready For Your
Next Interview

More Jobs at Point72

More Finance & Insurance Jobs

Find similar Compliance Associate, Trading Compliance jobs:

NationwideStamford, CT