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Compliance Officer
(more about Point72)
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Compliance Officer

About The Point72 Compliance Team

The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and monitoring compliance the firm’s policies, and applicable regulation, 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

We’re looking for an experienced Compliance Officer to join our team in Singapore.

Your focus will be advising on and ensuring compliance with market regulations on trading related activities for our quantitative, long/short, and macro investment strategies including trade / transaction reporting requirements as they apply to Point72’s Singapore operations (e.g., the MAS’s OTC derivatives contract reporting regulations).  

Your core responsibilities will include:

  • Working closely with stakeholders to ensure the firm’s compliance with MAS OTC Derivatives Reporting requirements and other trade reporting requirements
  • Managing SEBI FPI license compliance
  • Monitoring the firm’s trading activities to ensure compliance with global trading regulations and internal policies
  • Maintaining the firm’s restricted trading list
  • Providing real-time trading guidance and overrides (if permissible) to front office staff
  • Administering and monitoring regulatory reporting requirements (e.g., long and short positions reporting)
  • Tracking pertinent regulatory changes, assessing impact on business operations, amending relevant policies and procedures, and communicating changes as necessary
  • Reviewing and/or drafting compliance documentation, regulatory applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
  • Implementing compliance monitoring programs on trade monitoring/reviews
  • Assisting with ad-hoc legal and compliance tasks and projects, including technology enhancements
  • Providing regional compliance coverage
  • Delivering periodic compliance training to staff

You will work closely with other APAC Compliance Officers, providing necessary cover for them as and when required.

 

What’s required

In this role, you will need to maintain a detailed knowledge of all applicable MAS regulations and have a keen interest in performing daily routine monitoring tasks and working with others to resolve compliance-related issues as they occur.  In addition, you will need:

  • Commitment to the highest ethical standards
  • A minimum 10 years of relevant experience, preferably in an equity trading or asset management firm, securities regulator, broker, law-firm, or compliance consultant
  • Thorough knowledge of Singapore securities laws including the Securities and Futures Act, the Capital Markets Services License regime and associated rules, regulations and guidelines, and the OTC Derivatives reporting regime
  • Minimum of a bachelor’s degreeStrong computer literacy (Proficient with Bloomberg and Excel, programming skills not required)
  • Excellent interpersonal, communication, and analytical skills (written and verbal) and the ability to work with stakeholders at all levels
  • Strong principles and ethics and a meticulous approach to the work being undertaken
  • Candidates with experience of compliance issues relating to quantitative / systematic trading and/or the MAS’s OTC derivatives reporting regime may be preferred.

 

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

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. We’re inventing the future of finance by revolutionizing how we develop our people and how we use data to shape our thinking. For more information, visit www.Point72.com/working-here.