Real-Time Trading Compliance Specialist

Tradermath; Stamford, Northern (CT, KY); Hybrid; USD 140,000 - 190,000; Full time

Benefits offered by this job

Health care benefits

Parental leave

Volunteer opportunities

Affinity groups

Wellness programs

Tuition assistance

401(k) matching

Job summary

Point72's Compliance Team is seeking an experienced professional to provide real-time coverage for traders, offering clear guidance on trade approvals and conduct. You will lead the design and enhancement of pre-trade and post-trade surveillance, coordinate with legal, risk, operations, finance, technology, and vendors, and drive compliant go-to-market execution.

Qualifies with a Juris Doctorate, bar admission, 5+ years in investment-manager compliance, and a proven ability to analyze trading

Qualifications

• 5+ years of compliance experience in investment management, hedge funds, or broker-dealers with trading compliance responsibility.
• Knowledge of U.S. securities laws and market conduct relevant to trading is required.
• Experience designing or enhancing pre-trade and post-trade surveillance programs.
• Ability to analyze trading activity and alert data and to present findings to leadership.
• Experience leading cross-functional projects to implement policy or process changes.

Responsibilities

• Provide real-time compliance coverage for traders and give clear guidance on trade approvals and conduct.
• Support and enhance the trading compliance program for trading desks; drive improvements in controls and monitoring.
• Coordinate with legal, risk, operations, finance, technology, and vendors to implement and improve compliance solutions.
• Build and enhance pre-trade and post-trade surveillance processes and tune alerts.
• Investigate trading exceptions, prepare findings and remediation plans, and present results to senior compliance leaders.
• Deliver targeted training for trading personnel to embed compliance-by-design practices.

Skills

Compliance experience

Surveillance programs

Trading compliance

Data analysis

Cross-functional collaboration

Communication

Education

Juris Doctorate

Job description

Point72's Compliance Team is seeking an experienced professional to provide real-time coverage for traders, offering clear guidance on trade approvals and conduct. You will lead the design and enhancement of pre-trade and post-trade surveillance, coordinate with legal, risk, operations, finance, technology, and vendors, and drive compliant go-to-market execution.

Qualifies with a Juris Doctorate, bar admission, 5+ years in investment-manager compliance, and a proven ability to analyze trading