Compliance Officer
point72
law

Trading Compliance

Job Description:

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.

Daily Responsibilities:

Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct Support and enhance the trading compliance program for the firm�s trading desks, driving measurable improvements in controls and monitoring Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates

Job Requirements:

Juris Doctorate degree from an accredited law school and bar admission Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice Proven ability to analyze trading activity and alert data Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans Track record of leading cross-functional projects to implement policy, system, or process changes related to trading Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly Commitment to the highest ethical standards

Compensation:

n/a

Job Location(s):

Stamford, Connecticut

Source:

Company Career Section

Competition:

n/a

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