Compliance Analyst - Research Compliance
A Career with Point72’s Compliance Department
The Compliance department employs a number of professionals globally to establish and enforce the Firm’s compliance policies supporting the Firm’s investment and trading activities. Research Compliance is responsible for research management oversight, and real-time advice on issues regarding information received or generated by the firm. The department seeks individuals that are highly proficient, articulate, solution driven, and proactive.
What you’ll do
This position will focus on the following primary responsibilities:
- Work as a member of the Compliance Data and Research Management team within Research Compliance to conduct due diligence reviews of potential data and non-sell side research 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;
- Preparation of due diligence memoranda;
- Provide compliance support and monitoring of research centric discretionary investment teams;
- Provide compliance support and monitoring of Market Intelligence teams;
- Review and maintain tracking mechanisms of approvals;
- Assist Compliance Data and Research Management in addressing legal and compliance issues;
- Negotiate research provider contracts;
- Monitor and stay current on applicable laws, regulatory initiatives and case law; and
- Recommend and draft enhancements to policies and procedures.
What’s required
- Undergraduate degree from a top school with a minimum GPA of 3.2 required;
- Juris Doctorate degree from an accredited law school required;
- Minimum of 1 year of relevant Legal or Compliance experience, particularly focusing on the financial services industry;
- Excellent written and verbal communication skills;
- Strong interpersonal skills;
- Attention to detail and the ability to handle multiple tasks simultaneously;
- 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
- Mental and physical wellness programs
- Volunteer opportunities
- Non-profit matching gift program
- Support for employee-led affinity groups representing women, minorities and the LGBT+ community
- Tuition assistance
- A 401(k) savings program with an employer match and more
About Point72
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