Compliance Officer, Trading Compliance

Point72 Asset Management, L.P; Stamford (CT); On-site; USD 140,000 - 190,000; Full time

Benefits offered by this job

Healthcare benefits

Parental leave

Volunteer opportunities

Affinity groups

Wellness programs

Tuition assistance

401(k) with employer match

Job summary

Point72 Asset Management, L.P. is seeking a senior compliance professional to support real-time coverage for traders and to enhance pre-trade and post-trade surveillance, policies, and monitoring.

The role involves providing timely guidance and shaping an effective compliance program across trading desks and activities. The position requires collaboration with legal, risk, operations, finance, technology, and external vendors to implement automated controls and to translate regulatory changes

Qualifications

• Juris Doctorate from an accredited law school and bar admission.
• Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer.
• 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

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

Education

Juris Doctorate degree

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

• 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

What’s required

• 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

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/.