Compliance Associate

Summary

Join Point72's Compliance Department as a Compliance Associate to conduct diligence reviews of broker dealers, draft recommendations, and provide compliance support to internal business teams. This role offers mentorship, growth opportunities, and a long-term career path.

Requirements

• Juris Doctorate degree from an accredited law school and bar admission
• Minimum of one year of Legal or Compliance experience, particularly focusing on the financial services industry
• Strong analytical, problem-solving, planning, and organizational skills
• Attention to detail with the ability to handle multiple tasks simultaneously and the tenacity to produce meticulous work product
• Exceptional reading and writing skills, as well as outstanding communication and interpersonal skills
• Commitment to the highest ethical standards

Responsibilities

• Conduct due diligence reviews of broker dealers
• Draft due diligence recommendations
• Assist with time-sensitive broker outreach on emergent issues
• Provide compliance support to internal business teams such as Broker Relations, Macro and others
• Assist Data Compliance team in addressing legal and compliance issues relating to hybrid research providers, where necessary
• Maintain updated lists of compliance approved and denied brokers for the firm’s reference
• Negotiate, draft, and review broker dealer alpha capture compliance agreements
• Monitor and stay current on applicable laws, regulatory initiatives, and case law
• Recommend and draft enhancements to policies and procedures

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