Compliance Associate

A Career with Point72’s Compliance Department 

The Point72 Compliance department is an industry-leading team of professionals that supports 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 the success of Point72, and our compliance professionals are embedded in investment professional and investment services teams across the organization. We offer mentorship, a growth path, and the opportunity for a long-term career with Point72.

What you’ll do

As a Sector Specialist, you will work closely with discretionary equity investment teams within specific sectors and the Office of the Co-CIO, becoming deeply knowledgeable about how each team operates and the sector in which you cover. You will be the main point of contact for discretionary equity investment professionals in your sector and resolve issues identified, or concerns raised by, other verticals within Compliance such as Research Management, Code of Ethics, and Surveillance. Specifically, you will:

• Analyze legal and compliance issues and provide interpretive advice regarding securities regulations and the Firm’s policies and procedures
• Serve as an embedded compliance contact for respective teams within specific sectors
• Continuously interact with discretionary investment professionals to respond to real-time questions and issues
• Conduct new-hire and annual sector-based compliance training
• Chaperone calls and meetings between discretionary investment professionals and third parties
• Work in partnership with the Office of the Co-CIO to oversee investment professionals and partner with colleagues across the Firm to support Compliance needs
• Act as a subject-matter expert to assist the broader Compliance team and discretionary investment professionals with adhering to the Firm’s Compliance policies and procedures
• Stay abreast of regulatory and industry developments and assist with updating policies and procedures, as appropriate

What’s required

We are looking for a highly proficient, articulate, solution-oriented, and proactive person to join our team. Specifically, you will need:  

• Juris Doctorate degree from an accredited law school and bar membership
• Two or more years of experience in financial services
• Experience with Rule 10b-5 and the analysis of potential MNPI preferred
• Excellent written and verbal communication skills and the ability to build and maintain relationships across the Firm
• Attention to detail and the ability to handle multiple tasks simultaneously
• 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 LGBTQ+ community
• Mental and physical wellness programs
• 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. With over 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. For more information, visit www.Point72.com/working-here.

The annual base salary range for this role is $150,000-$225,000 (USD), which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.