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(more about Point72)
Compliance Officer
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.
What you’ll do
We are seeking a Compliance Officer in London to focus on supporting Canvas FRG, a primary research group within Point72. In this role, you will work closely with the U.S.-based Canvas Compliance team as we expand the team to London, a well as support the regionally based EU Compliance team. Specifically, you will:
- Main point of contact for compliance related items for Canvas Research Analysts in the EU;
- Conduct on-boarding due diligence of new consultants to Canvas FRG, LLC and annual re-reviews;
- Chaperone consultant calls for Canvas Research Analysts and document accordingly;
- Surveille and monitor communications between Canvas Research Analyst interactions with discretionary investment professionals;
- Monitor and notate chaperoned calls in proprietary compliance management system, track consultants to ensure appropriate chaperone coverage;
- Facilitate quarterly invoicing and payment with the finance department in compliance with applicable data privacy law;
- Participate in Insider Dealing/Insider Trading issues training for Canvas Research Analysts;
- Brainstorm and implement ideas for enhancing compliance oversight improvement and more efficient processes;
- Monitor and stay current on applicable EU laws, regulatory initiatives, and case law; and
- Recommend and draft enhancements to existing 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:
- 2-4 years of compliance experience in the financial services industry
- Strong understanding of FCA and European regulatory environment
- Attention to detail and the tenacity to produce meticulous work product
- Highly organized, process driven, and structured with the ability to work independently
- Ability to juggle multiple priorities under pressure, prioritize tasks and see each through to completion
- Collaborate with the broader compliance team
- 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:
- Private Medical and Dental Insurances
- Generous parental and family leave policies
- Volunteer opportunities
- Support for employee-led affinity groups representing women, people of colour and the LGBTQ+ community
- Mental and physical wellness programmes
- Tuition assistance
- Non-contributory pension 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. 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.