Compliance Officer
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 Point72.
What you’ll do
We are looking for a highly proficient, articulate, solution oriented, and proactive professional to join our team focused on Hong Kong and our Asia-Pacific business.
• Track pertinent regulatory changes in Hong Kong and the region, assess impact on business operations, and develop/amend, communicate and administer Point72 Compliance policies
• Assess and appropriately address possible situations of receipt of material, non-public information
• Conduct oversight, vetting, and chaperoning of third-party events requested by discretionary investment professionals offered by approved brokers in accordance with Point72 Compliance procedures
• Review and/or draft documentation, license applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
• Assist with the development, implementation and administration of the Hong Kong compliance framework including the firm’s Code of Ethics and personal trading programs
• Provide proactive and timely advice on relevant regulatory and firm policy requirements
• Deliver periodic compliance training to staff
• Assist with ad-hoc legal and compliance tasks and projects
What’s required
• University graduate (in law, finance, accountancy, or other business-related discipline)
• At least eight years of compliance experience, in a regulatory, control room, or research compliance or asset management environment
• Knowledge of how the securities industry operates and Hong Kong and mainland China securities laws
• Self-starter with strong multitasking, analytical, problem-solving, organizational, and communications skills (written and verbal)
• Aptitude for accuracy, detail-oriented, pragmatic, and hands-on approach
• Ability to work independently as well as collaborate within a team
• Fluent in English and Mandarin (additional Japanese language skills are a plus)
• Commitment to learn and handle a wide variety of work
• Willingness to travel in the region
• 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
• 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
• Competitive retirement program
About Point72
Point72 is a leading global alternative investment firm led by Steven A. Cohen with over $36 billion in assets under management (as of October 2024). 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.
Apply for this job
*
indicates a required field