Senior Surveillance Associate

Point72 Asset Management, L.P; Stamford (CT); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Fully-paid health care benefits

Generous parental and family leave

Mental and physical wellness programs

Volunteer opportunities

Non-profit matching gift program

Support for employee-led affinity-grou

Tuition assistance

401(k) employer match

Job summary

Point72 Asset Management, L.P. seeks a Surveillance professional to identify, monitor, and assess compliance risk across trading activity using proprietary tools.

You will support senior management with strategic assessments, real-time escalations, and analysis that turns data into actionable intelligence for internal clients. The ideal candidate has 5+ years in intelligence analysis or investigations, a bachelor’s degree (master’s preferred), excellent written and oral communication, and the

Qualifications

• Bachelor’s degree; master’s preferred for advanced roles.
• Strong analytical and problem-solving skills with attention to detail.
• Proven effectiveness in written and verbal communication.
• Ability to exercise sound judgement and handle highly sensitive information.
• Adaptability to changing priorities; commitment to high ethical standards.

Responsibilities

• Conduct routine trade surveillance and investigations.
• Conduct routine communication surveillance for potential violations.
• Craft intelligent questions and scope research for analysis.
• Use structured analytic techniques to improve analysis and identify indicators of change.
• Respond to regulator information requests and senior management taskings.
• Serve as a subject matter expert on assigned coverage and regulations.

Skills

Analytical thinking

Written communication

Confidentiality

Education

Bachelor's degree

Master's degree preferred

Job description

A Career with Point72’s Surveillance Team

Point72’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. We support senior management by providing strategic assessments, actionable recommendations, and real-time escalations. At Point72, members of the Surveillance team conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for our internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.

What you’ll do

• Conduct routine trade surveillance and investigations.
• Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and Firm policies, and elevate suspicious or non-compliant events.
• Craft intelligence questions, and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis, not simply information.
• Use tools and methodologies such as structured analytic techniques to improve analysis, check assumptions, and identify signposts or indicators of change.
• Work with managers to respond to information requests from financial regulators and ad-hoc taskings from members of the senior management team.
• Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies.
• Leverage resources, technology, and information to minimize risk and protect the firm.

What’s required

We hire candidates with a wide range of academic and professional backgrounds; many have prior experience working in the US Intelligence Community, but some come from the private sector or join soon after completing graduate or professional school. Specifically, you will need:

• A bachelor's degree, master's degree preferred, from an accredited institution with five or more years of prior professional experience working as an intelligence analyst, investigator, or in a closely related role.
• Strong analytical and problem-solving skills, and excellent attention to detail.
• Proven effectiveness in written and verbal communication.
• The ability to exercise sound judgement and observe the highest degree of confidentiality and discretion when handling highly sensitive information.
• The ability to adapt to changing priorities to meet business needs.
• 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
• Mental and physical wellness programs
• Volunteer opportunities
• Non-profit matching gift program
• Support for employee-led affinity groups representing women, minorities and the LGBT+ community
• Tuition assistance
• A 401(k) savings program with an employer match and more

About Point72

Point72 Asset Management is a global firm led by Steven Cohen that invests in multiple asset classes and strategies worldwide. Resting on more than a quarter-century of investing experience, we seek to be the industry’s premier asset manager through delivering superior risk-adjusted returns, adhering to the highest ethical standards, and offering the greatest opportunities to the industry’s brightest talent. We’re inventing the future of finance by revolutionizing how we develop our people and how we use data to shape our thinking. For more information, visit www.Point72.com/working-here