Compliance Associate - Data Compliance

A Career with Point72’s Compliance Department  

The Point72 Compliance department is an industry-leading team of compliance professionals that supports 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 the success of Point72, and our compliance professionals are embedded in investment professional and investment services teams across the organization. We offer mentorship, a growth path, and the opportunity for a long-term career with us.

What you’ll do

In this role, you will join the Point72 Data Compliance team to provide advisory compliance and legal support to the firm’s research and data initiatives across all investment strategies, with particular focus on data, software and advancing technological solutions. Specifically, you will:

• Work as a member of the Data Compliance team within Research Compliance to conduct due diligence reviews of potential data providers and non-sell-side providers including, but not limited to, applicable compliance policies; usage rights; authorization to sell, license, or share the data; and compliance with applicable federal and state laws
• Prepare due diligence memoranda
• Conduct diligence reviews of automated open source program requests and document
• Provide compliance support and monitoring of research centric discretionary investment and Market Intelligence teams
• Provide compliance support and monitoring of quantitative investment strategies and teams
• Negotiate data and research provider contracts
• Assist with drafting, enhancing, and implementing compliance best practices
• Collaborate internally with the broader Compliance department
• Assist with advising key stakeholders and management on applicable regulatory developments and case law, and help draft and refine policies and training as required
• Assist with ad hoc legal and compliance issues, special projects, and strategic initiatives

What’s required

• 1-3 years of compliance experience in the financial services industry
• Juris Doctorate degree from an accredited law school and bar membership
• 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

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 benefits
• Generous parental and family leave policies
• Volunteer opportunities
• Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community
• Mental and physical wellness programs
• Tuition assistance
• A 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 www.Point72.com/about.

The annual base salary range for this role is $125,000-$175,000 (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.