Senior Surveillance Associate, Market Abuse

Point72; Stamford (CT); On-site; USD 110,000 - 160,000; 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

Affinity groups support

Tuition assistance

401(k) employer match

Job summary

Point72’s Surveillance team conducts integrated trade and communication surveillance and provides strategic assessments and real-time escalations to internal customers.

We monitor employee activity for potential violations of securities laws and internal policies, leveraging proprietary tools and specialized tradecraft to minimize risk and protect the firm.

Qualifications

• Bachelor’s degree from an accredited institution.
• 3–5 years of trade surveillance experience at a buy-side firm, broker-dealer, exchange, or regulator.

Responsibilities

• Conduct routine trade surveillance and investigations to identify potential market abuse.
• Conduct routine communication surveillance for potential violations and escalate suspicious events.
• Partner with technology and compliance stakeholders to calibrate alert parameters and review data quality across the program.
• Craft intelligence questions and scope research to produce insightful analysis and risk assessments.
• Respond to information requests from financial regulators and senior management.

Skills

Analytical thinking

Communication skills

Discretion

Education

Bachelor’s degree

Tools

SQL

Python

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, escalating suspicious or non-compliant events


• Partner with technology and compliance stakeholders to calibrate alert parameters and thresholds, and conduct data quality and completeness reviews across the market abuse surveillance program


• Craft intelligence questions and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis


• 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

• Bachelor’s degree from an accredited institution


• 3–5 years of trade surveillance experience at a buy-side firm, broker-dealer, exchange, or regulator, with a focus on market abuse


• Demonstrated experience identifying and investigating potential market abuse and manipulation behavior across multiple asset classes, with familiarity of applicable regulatory frameworks


• Experience analyzing large and complex trading datasets, including proficiency in SQL and Python


• Strong analytical and problem-solving skills with excellent attention to detail


• Proven effectiveness in written and verbal communication


• Ability to exercise sound judgment and observe the highest degree of confidentiality and discretion when handling highly sensitive information


• Ability to adapt to changing priorities to meet business needs


• Commitment to the highest ethical standards[KN1]

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