Compliance Associate, Trading Compliance

Point72 Asset Management; Stamford (CT); On-site; USD 70,000 - 110,000; Full time

Benefits offered by this job

Fully-paid health care benefits

Generous parental and family leave

Volunteer opportunities

Affinity groups for women, people of色

Mental and physical wellness programs

Tuition assistance

401(k) with employer match

Job summary

Point72 Asset Management in Stamford CT is seeking a junior-to-mid-level Compliance Professional to support monitoring, advisory, and surveillance across global trading activities. You will collaborate with Technology to implement automated controls, generate reports, and improve visibility into compliance processes.

The role emphasizes data-driven analysis, clear written communication, and cross-functional teamwork, with growth opportunities within the Compliance team.

Qualifications

• 1–3 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 and remediation plans.
• Project management experience across multiple projects.
• Strong collaboration with cross-functional colleagues.
• Excellent verbal and written communication; able to explain technical topics clearly.
• Commitment to the highest ethical standards.

Responsibilities

• Monitor compliance restriction alerts and investigate potential issues with the Compliance team.
• Investigate trading exceptions; prepare concise findings and recommendations for senior Compliance.
• Manage compliance-related security master data mappings and validation.
• Partner with Technology to implement automated controls, reports, and dashboards.
• Track open technology issues and compliance projects to support timely resolution.
• Analyze compliance reports to identify data issues and improve processes.
• Support AI integration to enhance monitoring tools.
• Assist with real-time coverage for trade approvals and time-sensitive trading matters.

Skills

Compliance experience

Data analysis

Project management

Cross-functional collaboration

Communication skills

Ethics

Job description

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, expand up, and resolve potential issues
• Investigate trading exceptions, prepare concise findings, develop recommendations, and escalated 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/.