Compliance Associate, Trading Compliance

The role

This person will monitor compliance restriction alerts and investigate trading exceptions. They will manage compliance-related security master data and partner with Technology to implement automated controls.

What you will do

• Monitor compliance restriction alerts and partner with the broader Compliance team to investigate, escalate, and resolve potential issues
• Investigate trading exceptions, prepare concise findings, develop recommendations, and escalate to senior members of Compliance
• Manage compliance-related security master data by maintaining accurate mappings, validating underlying information, and resolving issues
• Partner with Technology to implement automated controls, reports, and dashboards
• Track open technology issues and compliance projects
• Analyze compliance reports to identify data issues and improve related processes
• Support artificial intelligence integration to enhance compliance monitoring tools
• Assist with real-time compliance coverage for trade approvals and time-sensitive trading matters

Required qualifications

• One to three years of compliance experience within an investment manager, hedge fund, or broker-dealer
• Basic understanding of multiple asset classes
• Experience analyzing data and producing clear written summaries, escalation materials, and remediation plans
• Project management experience with the ability to manage multiple projects simultaneously
• Experience partnering successfully with cross-functional colleagues
• Excellent verbal and written communication skills
• 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
• A 401(k) savings program with an employer match

About the company

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