Compliance Analyst - Primary Research

About the role

The Point72 Compliance department is an industry-leading team of compliance professionals supporting global investment and trading activities. 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.

Responsibilities

• Maintain and manage the Firm’s policies and procedures regarding the use of consultant networks, independent consultants, and custom projects including but not limited to surveys, bespoke reports, and ad hoc requests to support the broader Compliance group.
• Partner with other team members in Research Compliance while working closely with investment professionals and others around the Firm.
• Conduct oversight of Point72’s interactions with consultants through expert networks, brokers, and direct relationships, ensuring strict adherence to the Firm’s policies and procedures regarding such interactions.
• Chaperone consultant calls for investment professionals and document accordingly.
• Monitor and notate chaperoned calls in proprietary compliance management system, track consultants to ensure appropriate chaperone coverage.
• Affiliate in the oversight and maintenance of the Firm’s policies and procedures relating to custom projects and surveys requested by discretionary investment professionals.
• Brainstorm and implement ideas for enhancing compliance oversight improvement and more efficient processes.
• Recommend and draft enhancements to existing policies and procedures.

Requirements

• 1-3 years of compliance experience in the financial services industry
• Undergraduate degree with a minimum GPA of 3.2 required
• Strong verbal and written communication skills
• Strong analytical, problem-solving, planning, and organizational skills
• Attention to detail and the ability to handle multiple tasks simultaneously
• Team player
• 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 and more

Pay

The annual base salary range for this role is $100,000-$120,000 (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.