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Compliance Officer, Asia Pacific

Hong Kong

Compliance Officer, Hong Kong

About the Point72 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

We are looking for a compliance officer who is solution oriented and proactive to join our Asia-Pacific team. You will report to a Senior Compliance Officer, Asia Pacific Trading, and will partner with your fellow compliance professionals and work closely with Point72’s investment professionals and others across the firm. Specifically, you will:

  • Help enforce the compliance monitoring programs including conducting trade monitoring and due diligence reviews
  • Handle compliance regulatory reporting for the Asia-Pacific region
  • Provide real time support with respect to trading restrictions, monitoring and approvals
  • Track pertinent regulatory changes, assess impact on business operations, and help amend procedures and communicate changes
  • Provide proactive and timely advice on relevant regulatory and firm policy requirements as needed
  • Deliver periodic compliance training to employees
  • Review and/or draft documentation, applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
  • Assist with ad-hoc legal and compliance tasks and projects, including technology enhancements

 

What’s Required

 

  • University graduate
  • At least 6+ years compliance experience, preferably in an equity trading or asset management environment
  • Knowledge of SFC regulations and rules and Asia market regulations
  • Strong multitasking, organizational and communications skills (written and oral)
  • Strong attention to detail and accuracy
  • Ability to work independently as well as part of a team
  • English and Chinese language skills
  • Proficiency with Bloomberg and Excel
  • 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:

  • 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

 

About Point72

 

Point72 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. For more information, visit www.Point72.com/working-here.

 

 

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