Compliance Officer, Trading Compliance

Apply Now Experience Experienced Professionals Location Stamford Focus Compliance Business Point72 A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support 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 Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you’ll do Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conductSupport and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoringManage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutionsBuild and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issuesAssist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigationPartner with trading operations and technology teams to develop and implement automated controls, reports, and dashboardsExecute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through deliveryInvestigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leadersDevelop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practicesMonitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates What’s Required Juris Doctorate degree from an accredited law school and bar admissionMinimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading complianceDemonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conductProven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programsDemonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance adviceProven ability to analyze trading activity and alert dataExperience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plansTrack record of leading cross-functional projects to implement policy, system, or process changes related to tradingExcellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearlyCommitment 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: Fully-paid health care benefitsGenerous parental and family leave policiesVolunteer opportunitiesSupport for employee-led affinity groups representing women, people of color and the LGBT+ communityMental and physical wellness programsTuition assistanceA 401(k) savings program with an employer match and more About Point72 Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry's brightest talent by cultivating an investor-led culture and committing to our people's long-term growth. For more information, visit https://point72.com/. Apply Now Job Application Checklist RésuméEducation background Apply Now Still Exploring? Browse Open Roles