Senior Surveillance Associate - Market Abuse

The role

The Senior Surveillance Associate conducts trade and communication surveillance to identify compliance risks. This person will monitor employee activity for violations of securities laws and internal policies using proprietary tools.

What you will do

• Conduct routine trade surveillance and investigations
• Conduct routine communication surveillance for potential violations and escalate suspicious events
• Partner with technology and compliance stakeholders to calibrate alert parameters and conduct data quality reviews
• Craft intelligence questions and produce sophisticated analysis
• Use structured analytic techniques to improve analysis and identify indicators of change
• Work with managers to respond to information requests from regulators and senior management
• Serve as a subject matter expert in assigned coverage
• Leverage resources, technology, and information to minimize risk and protect the firm

Required qualifications

• Bachelor’s degree from an accredited institution
• 3–5 years of trade surveillance experience at a buy-side firm, broker-dealer, exchange, or regulator, with a focus on market abuse
• Experience identifying and investigating potential market abuse and manipulation behavior across multiple asset classes
• Familiarity of applicable regulatory frameworks
• Experience analyzing large and complex trading datasets
• Proficiency in SQL and Python
• Strong analytical and problem-solving skills
• Excellent attention to detail
• Proven effectiveness in written and verbal communication
• Ability to exercise sound judgment and observe the highest degree of confidentiality and discretion
• Ability to adapt to changing priorities to meet business needs
• Commitment to the highest ethical standards

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 LGBT+ community
• Mental and physical wellness programs
• Tuition assistance
• 401(k) savings program with an employer match

About the company

Point72 is a leading global alternative investment firm led by Steven A. Cohen. The firm seeks to deliver superior returns through fundamental and systematic investing strategies across asset classes and geographies.