Compliance Officer, Trading Compliance
Point72Stamford, Connecticut, United States · Posted 1 month agoDescription
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
- Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct
- Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
- Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
- Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
- Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
- Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards
- Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery
- Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders
- Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices
- Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates
What's required
- Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
- Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
- Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
- Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
- Proven ability to analyze trading activity and alert data
- Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
- Track record of leading cross-functional projects to implement policy, system, or process changes related to trading
- Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly
- 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 LGBT+ community
- Mental and physical wellness programs
- Tuition assistance
- A 401(k) savings program with an employer match and more
About Point72
Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry's brightest talent by cultivating an investor-led culture and committing to our people's long-term growth. For more information, visit https://point72.com/.
The annual base salary range for this role is $145,000-$175,000 (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.
Similar jobs
Est. 210,000 USD
It Operations Engineer, Trading Application Support A Career with Point72's Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engin…
Est. 80,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 185,000 USD
Product Designer, Knowledge Graph Intelligence 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 a…
Est. 205,000 USD
Devops Engineer, Surveillance 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 va…
Est. 125,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 75,000 USD
A Career with Point72's Investment Professional Development Team Our Investment Professional Development (IPD) team is dedicated to the growth and development of our investment analysts. The team focuses on developing in…
Est. 150,000 USD
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 fir…
Est. 80,000 USD
A Career with Point72’s Foundation and Community Team The Foundation and Community team supports Point72's Office of Inclusion & Community and Cohen Philanthropies, which includes the Steven and Alexandra Cohen Found…
Est. 120,000 USD
Senior Surveillance Associate - Market Abuse A Career with Point72's Surveillance Team Point72’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, a…
Est. 140,000 USD
A Career with Point72's Strategy Team The Strategy team is a multidisciplinary group that partners directly with the firm's businesses to identify, design, and lead value-creating strategic business initiatives. We enabl…
Est. 172,500 USD
A CAreer with point72’s TECHNOLOGY TEAM As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 217,500 USD
A Career with Point72’s Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 137,500 USD
A Career with Point72's Strategic Implementation Team The Strategic Implementation team drives the end-to-end delivery of large-scale, cross-functional initiatives that enable business growth and effective change managem…
Est. 185,000 USD
A CAREER WITH POINT72’S ACADEMY TEAM The Point72 Academy is the firm’s training program for fundamental equities financial analysts. Designed for undergraduates and early-career professionals, this immersive curriculum c…
Est. 200,000 USD
A Career with Point72’s Investment Professional Engagement Team Our Investment Professional Engagement (IPE) team is dedicated to helping our investment professionals build durable careers and become better investors. Wo…
Est. 275,000 USD
A Career with Point72's Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 135,000 USD
A Career with Point72’s Foundation and Community Team The Steven & Alexandra Cohen Foundation is a nonprofit organization committed to inspiring philanthropy and community service, leading by example to show the worl…
Est. 190,000 USD
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence—you’ll partner with our investment professionals and Compliance team to uncover insights about companies, industries, and the broader econom…
Est. 120,000 USD
A Career with Point72's Regulatory Reporting Team The Regulatory Reporting team provides governance across all regulatory filings and related obligations globally. The team is responsible for report preparation, generati…
Est. 225,000 USD
A Career with Point72's Human Capital Team As an HR Team, our mission is to be trusted business partners and advisors within the Point72 community, committed to driving a distinctive culture that values collaboration, in…
Est. 117,500 USD
A Career with Point72’s Finance Team The Finance team provides a broad range of timely, accurate, relevant, and objective financial information, advice, and services to its business partners, while adhering to the highes…
A Career with Point72's Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 170,000 USD
A Career with Point72's Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 100,000 USD
A Career with Point72's Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 150,000 USD
A Career with Point72's Finance Team The Finance team provides a broad range of timely, accurate, relevant, and objective financial information, advice, and services to its business partners, with commitment to the highe…
Est. 100,000 USD
Summary We are looking for a detail-oriented and dedicated Administrative Assistant to provide support to our Portfolio Managers and Analysts within our Point72 office in San Francisco, CA. What you’ll do The Administrat…
A Career with Point72's Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 225,000 USD
A Career with Point72’s Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 120,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 275,000 USD
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence—you’ll partner with our Investment Professionals and Compliance team to uncover insights about companies, industries, and the broader econom…