Compliance Associate, Trading Compliance

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

• Monitor compliance restriction alerts and partner with the broader Compliance team to investigate, escalate, and resolve potential issues
• Investigate trading exceptions, prepare concise findings, develop recommendations, and escalate to senior members of Compliance
• Manage compliance-related security master data by maintaining accurate mappings, validating underlying information, and resolving issues adversely affecting trading compliance reports
• Partner with, among other functions, Technology to implement automated controls, reports, and dashboards that improve visibility and reduce manual intervention
• Track open technology issues and compliance projects to support timely resolution
• Analyze compliance reports to identify data issues and improve related processes</