Compliance Associate

Summary

Join Point72's Compliance Department as a Sector Specialist and contribute to establishing and enforcing compliance policies, providing real-time advice, and conducting pre and post trade surveillance. As a key member of the team, you will work closely with discretionary equity investment teams within specific sectors and provide interpretive advice regarding securities regulations and the Firm’s policies and procedures.

Requirements

• 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

Responsibilities

• 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

Benefits

• 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