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 advice and guidance to the Global Macro business covering rates, foreign exchange, emerging markets, credit, asset-backed securities, and macro derivatives strategies
Partner with macro portfolio managers and trading teams to embed and enforce practical, real-time compliance controls
Support pre-trade and post-trade monitoring programs and investigative processes to detect and resolve trading, market conduct, and policy breaches
Assist with diligence reviews and the approvals process for new products, markets, brokers, and counterparties, driving timely decisions and clear documentation
Conduct complex compliance reviews and investigations, produce concise findings and remediation plans, and manage escalations to senior compliance leaders
Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
Assist with regulatory readiness efforts and contribute to responses to regulatory inquiries or examinations related to macro trading activities
Monitor global regulatory developments affecting macro markets and translate those changes into actionable policy updates and process improvements
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Conduct new-hire and annual macro-based compliance training for macro teams to translate regulatory and firm requirements into day-to-day practices
Chaperone calls and meetings between macro investment professionals and third parties
Collaborate with macro management and colleagues across the firm to support oversight and Compliance initiatives
Serve as a subject-matter expert to both the broader Compliance team and investment professionals regarding adherence to firm policies and procedures
What's required
Juris Doctorate degree from an accredited law school and bar admission
Minimum of 3 years of compliance experience supporting macro or trading businesses at a hedge fund, asset manager, or broker-dealer
Demonstrated experience overseeing compliance for macro products, including interest rate swaps, sovereign bonds, foreign exchange, credit, asset-backed securities, commodities, and derivatives
Practical experience analyzing laws and regulations related to commodity interests and securities, including SEC Rule 10b-5, CFTC Rule 180.1, and the analysis of potential MNPI
Proven experience designing and operating trade surveillance, pre-trade controls, and post-trade investigative workflows
Proven ability to lead cross-functional projects and engage senior stakeholders under time pressure
Strong written and verbal communication skills with strong judgment and the ability to explain complex legal and compliance concepts to non-legal audiences
Excellent analytical skills, attention to detail, and the ability to operate independently and manage multiple priorities simultaneously in a fast-paced environment
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 LGBT+ 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 https://point72.com/.
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.
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