Compliance Officer, Asia Pacific
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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