Point72 Asset Management 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.

Point72

Compliance

• Conduct due diligence reviews of broker dealers
• Draft due diligence recommendations
• Assist with time-sensitive broker outreach on emergent issues
• Provide compliance support to internal business teams
• Maintain updated lists of compliance approved and denied brokers
• Negotiate, draft, and review broker dealer alpha capture compliance agreements
• Monitor and stay current on applicable laws, regulatory initiatives, and case law
• Recommend and draft enhancements to policies and procedures

Compliance Associate

• Main point of contact for Compliance related items for Canvas Research Analysts
• 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
• Monitor communications between Canvas Research Analyst interactions with discretionary investment professionals
• Facilitate quarterly invoicing and payment with the finance department in compliance with applicable data privacy law
• Participate in Compliance training for Canvas Research Analysts
• Brainstorm and implement ideas for enhancing compliance oversight improvement and more efficient processes
• Monitor and stay current on applicable laws, regulatory initiatives, and case law
• Recommend and draft enhancements to policies and procedures

Compliance Analyst, Canvas Compliance

• Analyze legal and compliance issues and provide interpretive advice regarding securities regulations and the Firm’s policies and procedures
• Serve as an embedded compliance contact for respective teams within specific sectors
• Continuously interact with discretionary investment professionals to respond to real-time questions and issues
• Conduct new-hire and annual sector-based compliance training
• Chaperone calls and meetings between discretionary investment professionals and third parties
• Work in partnership with the Office of the Co-CIO to oversee investment professionals and partner with colleagues across the Firm to support Compliance needs
• Act as a subject-matter expert to assist the broader Compliance team and discretionary investment professionals with adhering to the Firm’s Compliance policies and procedures
• Stay abreast of regulatory and industry developments and assist with updating policies and procedures, as appropriate

Point72 Jobs in New York City

Point72

Compliance Associate

Point72

Compliance Analyst, Canvas Compliance

Point72

Compliance Associate

Point72