Compliance Associate

A Career with Point72’s Compliance Department  

The Point72 Compliance department is an industry-leading team of compliance 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 us. We are looking for a highly proficient, articulate, solution oriented, and proactive professional to join our team.

What you’ll do

We are seeking a Compliance Associate with Legal or Compliance experience to join the Broker Compliance team. In this role, you will work as a member of Broker Compliance to conduct necessary diligence and compliance oversight of the firm’s broker relationships. Specifically, you will:

• Conduct due diligence reviews of broker dealers including, but not limited to, reviewing applicable compliance risk and associated policies related to broker dealer equities and macro research, corporate access, and alpha capture programs
• 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

What’s required

We are seeking a detail-oriented and self-motivated professional to join our team with the opportunity to learn and grow. Specifically, you will need:

• 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

 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 is a global firm led by Steven Cohen that invests in multiple asset classes and strategies worldwide. Resting on more than 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 $140,000-$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.