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Compliance Officer, Trading Compliance

at Point72

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Industry not specified

Compliance Officer, Trading Compliance

at Point72

Mid LevelNo visa sponsorshipOther

Posted 21 hours ago

No clicks

Compensation
$145,000 – $175,000 USD

Currency: $ (USD)

City
New York City, Stamford
Country
United States

Senior Compliance Officers ensure trading compliance, driving regulatory adherence. Key responsibilities include reviewing trade activities, enhancing compliance programs, and maintaining audit trails. Proficient in regulatory bodies' guidelines, fluent in SQL, and experienced in trading compliance software. With a Bachelor's degree and five or more years of experience, apply now.

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Compliance Officer, Trading Compliance Career
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P72 Careers - Header
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Compliance Officer, Trading Compliance

Apply Now
Experience

Experienced Professionals

Location

New York | Stamford

Focus

Compliance

Business

Point72

A Career with Point72's 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

  • Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct
  • Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
  • Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
  • Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
  • Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
  • Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards
  • Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery
  • Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders
  • Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices
  • Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates

What’s required

  • Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
  • Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
  • Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
  • Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
  • Proven ability to analyze trading activity and alert data
  • Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
  • Track record of leading cross-functional projects to implement policy, system, or process changes related to trading
  • Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly
  • 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 $145,000-$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.


Apply Now

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  • Résumé
  • Education background
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A Career with Point72's Compliance Team

\n

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

\n
  • Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct
  • Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
  • Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
  • Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
  • Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
  • Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards
  • Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery
  • Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders
  • Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices
  • Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates

What’s required

\n
  • Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
  • Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
  • Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
  • Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
  • Proven ability to analyze trading activity and alert data
  • Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
  • Track record of leading cross-functional projects to implement policy, system, or process changes related to trading
  • Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly
  • Commitment to the highest ethical standards

We take care of our people

\n

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

\n

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 $145,000-$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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Compliance Officer, Trading Compliance

at Point72

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Compliance Officer, Trading Compliance

at Point72

Mid LevelNo visa sponsorshipOther

Posted 21 hours ago

No clicks

Compensation
$145,000 – $175,000 USD

Currency: $ (USD)

City
New York City, Stamford
Country
United States

Senior Compliance Officers ensure trading compliance, driving regulatory adherence. Key responsibilities include reviewing trade activities, enhancing compliance programs, and maintaining audit trails. Proficient in regulatory bodies' guidelines, fluent in SQL, and experienced in trading compliance software. With a Bachelor's degree and five or more years of experience, apply now.

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Compliance Officer, Trading Compliance Career
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P72 Careers - Header
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color: #18181a !important; } .c-menu-mega-careers ul a:focus, .c-menu-mega-careers ul a:hover { color: #b08725 !important; color: var(--p72-color-content-stronger) !important; } li.c-menu-mobile__menu-item > a.c-menu-mobile__link, li.c-menu-mobile__menu-item > a.c-menu-mobile__link span { color: #18181a !important; } li.c-menu-mobile__menu-item > a.c-menu-mobile__link:hover, li.c-menu-mobile__menu-item > a.c-menu-mobile__link:hover span { color: var(--p72-color-content-stronger, #b08725) !important; } li.c-menu-mobile__menu-item > a.c-menu-mobile__link, li.c-menu-mobile__menu-item > a.c-menu-mobile__link span { color: #18181a !important; } li.o-icon > a.o-icon:hover, li.o-icon > a.o-icon:hover span { color: var(--p72-color-content-stronger, #b08725) !important; } .o-button--outlined { background-color: transparent; color: black; border: 1px solid black; transition: all 0.3s ease; } .o-button--outlined:focus, .o-button--outlined:hover { background-color: var(--p72-color-button-background, #b08725); border-color: var(--p72-color-button-background, #b08725); color: var(--p72-color-button-text, #f5f4ee); } .c-menu-mega { opacity: 0; visibility: hidden; transform: translateY(5px); transition: opacity 0.15s ease-out, transform 0.15s ease-out; will-change: opacity, transform; } body.header-scrolled .c-header { top: var(--p72-cookie-consent-height, 0px) !important; } body.header-scrolled .c-menu-mobile { /*top: 0 !important;*/ } /* Header common style */ .c-header, .c-header.l-wrap, .c-header .l-wrap { transition: none !important; will-change: auto; } /* Optional: reset header when scrolled */ body.header-scrolled .c-header, body.header-scrolled .c-header.l-wrap, body.header-scrolled .c-header .l-wrap { top: 0 !important; } @media only screen and (max-width:768px) { .c-cookie-consent__container { padding: 8px 10px !important; } body.header-scrolled .c-header, body.header-scrolled .c-header.l-wrap { padding-top: 13px; !important; } body.header-scrolled .c-header .l-wrap { padding-top: 13px; !important; } .c-cookie-consent__content p,.c-cookie-consent__content a { max-width: 100% !important; font-family:"Aptos", sans-serif; font-size:14px !important; line-height:18.2px !important; } } /* ========================================================= Combined CSS: c-menu-mobile + u-hide-after--md + u-spacing--lg Includes required variables + hamburger related CSS ========================================================= */ /* ========================================================= Required Variables ========================================================= */ :root { --p72-header-height: 100px; --p72-space-xxs: 0.25rem; --p72-space-xs: 0.5rem; --p72-space-sm: 0.75rem; --p72-space: 1rem; --p72-space-md: 1.5rem; --p72-space-lg: 2rem; --p72-animation-duration: 0.4s; --p72-animation-duration-long: 0.6s; --p72-animation-timing: cubic-bezier(0.65, 0, 0.35, 1); --p72-z-index-5: 5; --p72-border-width: 1px; --p72-font-family-secondary: Aptos, sans-serif; --p72-font-weight-bold: 700; --p72-font-size-heading-xs: 1.25rem; --p72-line-height-tight: 1.1; --p72-letter-spacing-wide: 0.06em; --p72-typography-heading-xs: var(--p72-font-weight-bold) var(--p72-font-size-heading-xs) / var(--p72-line-height-tight) var(--p72-font-family-secondary); --p72-color-brand-cream: #f5f4ee; --p72-color-brand-gold: #b08725; --p72-color-brand-slate: #505a6b; --p72-color-brand-charcoal: #18181a; --p72-color-background: var(--p72-color-brand-charcoal); --p72-color-content: var(--p72-color-brand-cream); --p72-color-content-stronger: var(--p72-color-brand-gold); --p72-color-border: var(--p72-color-brand-slate); --p72-cookie-consent-height: 0px; --p72-icon-size-sm: 0.9375rem; } /* ========================================================= Utility: u-hide-after--md Hidden after medium breakpoint ========================================================= */ @media (min-width: 769px) { .u-hide-after--md { display: none !important; } } /* ========================================================= Utility: u-spacing--lg Adds large vertical spacing between direct children ========================================================= */ .u-spacing--lg > * + * { margin-top: 2rem; margin-top: var(--p72-space-lg); } /* ========================================================= Mobile Menu Container ========================================================= */ .c-menu-mobile { bottom: 0; height: calc(100% - var(--p72-cookie-consent-height)); overflow-y: scroll; padding: calc(100px + 1.5rem) 1.5rem 1.5rem; padding: calc(var(--p72-header-height) + var(--p72-space-md)) var(--p72-space-md) var(--p72-space-md) var(--p72-space-md); position: fixed; right: 0; top: var(--p72-cookie-consent-height) !important; transform: translate3d(100%, 0, 0); transition: all 0.6s cubic-bezier(0.65, 0, 0.35, 1); transition: all var(--p72-animation-duration-long) var(--p72-animation-timing); visibility: hidden; width: 100%; z-index: 5; z-index: var(--p72-z-index-5); background-color: var(--p72-color-background); color: var(--p72-color-content); } /* ========================================================= Mobile Menu Open State Add class c-menu-mobile-is-active to body or parent ========================================================= */ @media (max-width: 767px) { .c-menu-mobile-is-active .c-menu-mobile { transform: translateZ(0); visibility: visible; } body.c-menu-mobile-is-active { overflow: hidden; } } /* ========================================================= Mobile Menu Item ========================================================= */ .c-menu-mobile__menu-item { border-bottom: 1px solid #505a6b; border-bottom: var(--p72-border-width) solid var(--p72-color-border); display: flex; flex-flow: column nowrap; gap: 0.25rem; gap: var(--p72-space-xxs); overflow: hidden; width: 100%; } /* ========================================================= Mobile Menu Link / Button ========================================================= */ .c-menu-mobile__link { align-items: center; background: transparent; border: none; color: #f5f4ee; color: var(--p72-color-content); cursor: pointer; display: flex; font: 700 1.25rem/1.1 Aptos, sans-serif; font: var(--p72-typography-heading-xs); gap: 0.25rem; gap: var(--p72-space-xxs); justify-content: space-between; letter-spacing: 0.06em; letter-spacing: var(--p72-letter-spacing-wide); padding: 0.75rem 0; padding: var(--p72-space-sm) 0; text-transform: uppercase; transition: color 0.4s cubic-bezier(0.65, 0, 0.35, 1); transition: color var(--p72-animation-duration) var(--p72-animation-timing); width: 100%; text-align: left; } @media (max-width: 768px) { .c-menu-mobile__link { font-size: 1.0625rem; } } .c-menu-mobile__link:focus, .c-menu-mobile__link:hover { color: #b08725; color: var(--p72-color-content-stronger); } .c-menu-mobile__link svg { height: var(--p72-icon-size-sm); min-width: var(--p72-icon-size-sm); width: var(--p72-icon-size-sm); } /* ========================================================= Mobile Sub Menu ========================================================= */ .c-menu-mobile--sub-menu { display: none; } .c-menu-mobile--sub-menu ul { display: flex; flex-direction: column; gap: 0.25rem; gap: var(--p72-space-xxs); margin-bottom: 0.75rem; margin-bottom: var(--p72-space-sm); list-style: none; padding: 0; } .c-menu-mobile--sub-menu a { color: #f5f4ee; color: var(--p72-color-content); text-decoration: none; } @media (max-width: 768px) { .c-menu-mobile--sub-menu a { font-size: 0.875rem; } } .c-menu-mobile--sub-menu a:focus, .c-menu-mobile--sub-menu a:hover { color: #b08725; color: var(--p72-color-content-stronger); } /* Show submenu when menu item is active */ .c-menu-mobile__menu-item.this-is-active .c-menu-mobile--sub-menu { display: block; } /* ========================================================= Header Style When Mobile Menu Is Active ========================================================= */ .c-menu-mobile-is-active .c-header { backdrop-filter: blur(0); border-color: #505a6b; border-color: var(--p72-color-border); } /* ========================================================= Hamburger Button Base ========================================================= */ .o-button-hamburger { align-items: center; -webkit-appearance: none; -moz-appearance: none; appearance: none; background: transparent; border: none; color: #f5f4ee; color: var(--p72-color-content); cursor: pointer; display: flex; height: 50px; padding: 0; --p72-hamburger-line-height: 1px; --p72-hamburger-line-spacing: 6px; --p72-hamburger-line-width: 25px; --p72-hamburger-lines-total-height: calc( var(--p72-hamburger-line-spacing) * 2 + var(--p72-hamburger-line-height) * 3 ); } .o-button-hamburger__label { font: 700 1rem/1.1 Aptos, sans-serif; letter-spacing: 0.06em; letter-spacing: var(--p72-letter-spacing-wide); text-transform: uppercase; } .o-button-hamburger__lines { height: var(--p72-hamburger-lines-total-height); margin-left: 0.25rem; margin-left: var(--p72-space-xxs); position: relative; transition: transform 0.5s ease-in-out; width: var(--p72-hamburger-line-width); } .o-button-hamburger__line { background-color: currentcolor; height: var(--p72-hamburger-line-height); left: 0; position: absolute; transition: transform 0.3s ease, top 0.3s ease, opacity 0.3s ease; width: 100%; } .o-button-hamburger__line:first-child { top: 0; } .o-button-hamburger__line:nth-child(2) { top: calc( var(--p72-hamburger-line-spacing) + var(--p72-hamburger-line-height) ); } .o-button-hamburger__line:nth-child(3) { top: calc( (var(--p72-hamburger-line-spacing) + var(--p72-hamburger-line-height)) * 2 ); } /* ========================================================= Hamburger Active Animation Triggered by .c-menu-mobile-is-active ========================================================= */ .c-menu-mobile-is-active .o-button-hamburger__line:first-child { top: 50%; transform: rotate(45deg); } .c-menu-mobile-is-active .o-button-hamburger__line:nth-child(2) { opacity: 0; } .c-menu-mobile-is-active .o-button-hamburger__line:nth-child(3) { top: 50%; transform: rotate(-45deg); } /** * Extracted scroll-related functionality from the bundled app. * * Requires: * - GSAP * - ScrollTrigger * - Optional: jQuery if using the jQuery-based class add below * * If you are using ES modules: * * import gsap from "gsap"; * import ScrollTrigger from "gsap/ScrollTrigger"; * * gsap.registerPlugin(ScrollTrigger); */ /* ========================================================================== Cookie consent scroll/resize height tracking ========================================================================== */ const COOKIE_NOTICE_KEY = "p72_cookie_notice_dismissed"; const cookieConsentScroll = { _raf: null, _scrollBound: false, _onScroll: null, isDismissed() { try { return sessionStorage.getItem(COOKIE_NOTICE_KEY) === "1"; } catch (error) { return false; } }, setDismissed() { try { sessionStorage.setItem(COOKIE_NOTICE_KEY, "1"); } catch (error) {} }, showBanner() { const banner = document.querySelector(".js-cookie-consent"); if (banner) { banner.classList.remove("is-hidden"); banner.classList.add("is-visible"); this.updateHeightVar(); this.bindScroll(); } }, hideBanner() { const banner = document.querySelector(".js-cookie-consent"); if (banner) { banner.classList.remove("is-visible"); banner.classList.add("is-hidden"); this.unbindScroll(); this.updateHeightVar(); } }, updateHeightVar() { const banner = document.querySelector(".js-cookie-consent"); let height = 0; if (banner && !banner.classList.contains("is-hidden")) { const rect = banner.getBoundingClientRect(); height = Math.min( Math.max(rect.bottom, 0), banner.offsetHeight ); } document.documentElement.style.setProperty( "--p72-cookie-consent-height", `${height}px` ); }, onScroll() { if (!this._raf) { this._raf = window.requestAnimationFrame(() => { this._raf = null; this.updateHeightVar(); }); } }, bindScroll() { if (!this._scrollBound) { this._scrollBound = true; this._onScroll = this.onScroll.bind(this); window.addEventListener("scroll", this._onScroll, { passive: true, }); window.addEventListener("resize", this._onScroll, { passive: true, }); } }, unbindScroll() { if (this._scrollBound) { this._scrollBound = false; window.removeEventListener("scroll", this._onScroll); window.removeEventListener("resize", this._onScroll); } }, observeHeight() { const banner = document.querySelector(".js-cookie-consent"); if (!banner || typeof ResizeObserver === "undefined") return; new ResizeObserver(() => this.updateHeightVar()).observe(banner); }, handleClose() { this.setDismissed(); this.hideBanner(); }, init() { const banner = document.querySelector(".js-cookie-consent"); if (banner) { if (this.isDismissed()) { this.updateHeightVar(); } else { this.showBanner(); } this.observeHeight(); } else { document.documentElement.style.setProperty( "--p72-cookie-consent-height", "0px" ); } }, }; /* ========================================================================== Smooth anchor scrolling with header offset ========================================================================== */ function getAnchorTarget(hash) { if (!hash || hash === "#") return null; const id = hash.startsWith("#") ? hash.substring(1) : hash; let target = document.getElementById(id); if (!target) { try { target = document.querySelector(hash); } catch (error) { return null; } } return target; } function scrollToElementWithHeaderOffset(element) { const headerHeight = parseInt( getComputedStyle(document.documentElement) .getPropertyValue("--p72-header-height") ) || 0; const top = element.getBoundingClientRect().top + window.pageYOffset - headerHeight; window.scrollTo({ top, behavior: "smooth", }); } function initSmoothAnchorScrolling() { document.addEventListener("click", function (event) { const link = event.target.closest( 'a[href^="#"]:not([href="#"])' ); if (!link) return; const href = link.getAttribute("href"); const target = getAnchorTarget(href); if (target) { event.preventDefault(); scrollToElementWithHeaderOffset(target); if (history.pushState) { history.pushState(null, null, href); } } }); if (window.location.hash) { setTimeout(() => { const target = getAnchorTarget(window.location.hash); if (target) { scrollToElementWithHeaderOffset(target); } }, 100); } } /* ========================================================================== GSAP ScrollTrigger animations ========================================================================== */ function initGsapScrollAnimations() { if (typeof gsap === "undefined" || typeof ScrollTrigger === "undefined") { console.warn("GSAP or ScrollTrigger is not available."); return; } gsap.registerPlugin(ScrollTrigger); document.querySelectorAll(".js-gsap-trigger").forEach((trigger) => { /** * Fade in on scroll */ const fadeItems = trigger.querySelectorAll(".js-gsap-fade-in"); if (fadeItems.length > 0) { fadeItems.forEach((item, index) => { gsap.to(item, { opacity: 1, duration: 0.8, ease: "power1.in", scrollTrigger: item, delay: 0.1 * index, }); }); } /** * Scale in on scroll */ const scaleItems = trigger.querySelectorAll(".js-gsap-scale-in"); if (scaleItems.length > 0) { scaleItems.forEach((item, index) => { gsap.to(item, { scale: 1, opacity: 1, duration: 0.8, ease: "power1.in", scrollTrigger: item, delay: 0.1 * index, transformOrigin: "center center", }); }); } /** * Slide up on scroll */ const slideUpItems = trigger.querySelectorAll(".js-gsap-slide-in-up"); if (slideUpItems.length > 0) { slideUpItems.forEach((item, index) => { gsap.to(item, { opacity: 1, y: 0, duration: 0.8, ease: "power1.in", scrollTrigger: item, delay: 0.1 * index, }); }); } /** * Card entrance animation * * Note: * In the original bundle this is inside `.js-gsap-trigger`, * but it is not actually tied to ScrollTrigger. It runs immediately. */ const cards = trigger.querySelectorAll(".js-card-animate"); if (cards.length > 0) { console.log("Found cards to animate:", cards.length); gsap.set(cards, { opacity: 0, y: 12, filter: "blur(0.5px)", clearProps: "none", }); gsap.to(cards, { opacity: 1, y: 0, filter: "blur(0px)", duration: 0.3, ease: "power2.out", stagger: 0.03, delay: 0.05, }); } }); /** * Generic scroll class trigger */ gsap.utils.toArray(".u-scroll-animation").forEach((element) => { ScrollTrigger.create({ trigger: element, start: "top 90%", onEnter: () => { element.classList.add("u-scroll-animate"); }, }); }); } /* ========================================================================== Load-more card animation ========================================================================== */ function initLoadMoreScrollRelatedAnimation() { if (typeof jQuery === "undefined") { console.warn("jQuery is not available."); return; } if (typeof gsap === "undefined") { console.warn("GSAP is not available."); return; } const $ = jQuery; $(".js-button-load-more").on("click", () => { const hiddenItems = $(".js-filter-item.u-display--none").not(".ft-hidden"); const itemsToShow = hiddenItems.slice(0, 8); if (itemsToShow.length > 0) { const animatedCards = itemsToShow.find(".js-card-animate").get(); if (animatedCards.length > 0) { gsap.set(animatedCards, { opacity: 0, y: 12, filter: "blur(0.5px)", }); } itemsToShow.removeClass("u-display--none"); const filterContainer = $(".js-filter-container"); try { if (filterContainer.data("isotope")) { filterContainer.isotope("layout"); } } catch (error) {} if (animatedCards.length > 0) { gsap.to(animatedCards, { opacity: 1, y: 0, filter: "blur(0px)", duration: 0.4, ease: "power2.out", stagger: 0.04, }); } $(".js-button-load-more") .blur() .removeClass("active focus"); if (hiddenItems.length <= 8) { $(".js-button-load-more").hide(); } } }); } /* ========================================================================== Optional: Swiper timeline with horizontal scroll/drag behavior ========================================================================== */ /** * The bundle initializes a horizontal Swiper timeline. * * Requires Swiper and Navigation module. * * In the original minified code: * - fl = Swiper * - ml = Navigation module */ function initTimelineSwiper() { if (typeof Swiper === "undefined") { console.warn("Swiper is not available."); return; } // If using Swiper modules globally, adjust as needed. // Swiper.use([Navigation]); new Swiper(".js-timeline", { slidesPerView: 1, spaceBetween: "-10%", breakpoints: { 640: { slidesPerView: 2, }, 768: { slidesPerView: 3, }, 1024: { slidesPerView: 4, }, 1200: { slidesPerView: 5, }, }, direction: "horizontal", freeMode: true, navigation: { nextEl: ".swiper-button-next", prevEl: ".swiper-button-prev", }, }); } /* ========================================================================== Optional: Posts slider horizontal drag/scroll behavior ========================================================================== */ class PostsSlider { constructor() { this.sliders = document.querySelectorAll(".js-posts-slider"); this.swiperInstances = []; this.init(); } init() { if (!this.sliders.length) return; if (typeof Swiper === "undefined") { console.warn("Swiper is not available."); return; } // If using Swiper modules globally, adjust as needed. // Swiper.use([Navigation]); this.sliders.forEach((slider) => { const container = slider.querySelector(".js-posts-slider-container"); if (!container) return; const prevButton = slider.querySelector(".js-posts-slider-prev"); const nextButton = slider.querySelector(".js-posts-slider-next"); const swiper = new Swiper(container, { slidesPerView: "auto", spaceBetween: 0, grabCursor: true, watchSlidesProgress: true, wrapperClass: "js-posts-slider-wrapper", slideClass: "js-posts-slider-card", navigation: { nextEl: nextButton, prevEl: prevButton, }, on: { init: function () { if (prevButton) { prevButton.classList.add("swiper-button-disabled"); prevButton.setAttribute("disabled", "disabled"); } }, slideChange: function () { if (prevButton) { if (this.isBeginning) { prevButton.classList.add("swiper-button-disabled"); prevButton.setAttribute("disabled", "disabled"); } else { prevButton.classList.remove("swiper-button-disabled"); prevButton.removeAttribute("disabled"); } } if (nextButton) { if (this.isEnd) { nextButton.classList.add("swiper-button-disabled"); nextButton.setAttribute("disabled", "disabled"); } else { nextButton.classList.remove("swiper-button-disabled"); nextButton.removeAttribute("disabled"); } } }, }, }); this.swiperInstances.push(swiper); }); } } /* ========================================================================== Main initializer ========================================================================== */ function initExtractedScrollFunctionality() { cookieConsentScroll.init(); initSmoothAnchorScrolling(); initGsapScrollAnimations(); initLoadMoreScrollRelatedAnimation(); initTimelineSwiper(); new PostsSlider(); } /* ========================================================================== DOM ready ========================================================================== */ document.addEventListener("DOMContentLoaded", () => { initExtractedScrollFunctionality(); });

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Compliance Officer, Trading Compliance

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Experience

Experienced Professionals

Location

New York | Stamford

Focus

Compliance

Business

Point72

A Career with Point72's 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

  • Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct
  • Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
  • Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
  • Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
  • Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
  • Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards
  • Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery
  • Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders
  • Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices
  • Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates

What’s required

  • Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
  • Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
  • Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
  • Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
  • Proven ability to analyze trading activity and alert data
  • Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
  • Track record of leading cross-functional projects to implement policy, system, or process changes related to trading
  • Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly
  • 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 $145,000-$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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  • Education background
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A Career with Point72's Compliance Team

\n

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

\n
  • Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct
  • Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring
  • Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions
  • Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues
  • Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation
  • Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards
  • Execute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery
  • Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders
  • Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices
  • Monitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates

What’s required

\n
  • Minimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance
  • Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct
  • Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs
  • Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice
  • Proven ability to analyze trading activity and alert data
  • Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans
  • Track record of leading cross-functional projects to implement policy, system, or process changes related to trading
  • Excellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly
  • Commitment to the highest ethical standards

We take care of our people

\n

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

\n

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 $145,000-$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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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.\u003C/p\u003E\u003Cbr\u003E\u003Ch3\u003EWhat you’ll do\u003C/h3\u003E\\n\u003Cul\u003E\u003Cli\u003EProvide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct\u003C/li\u003E\u003Cli\u003ESupport and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring\u003C/li\u003E\u003Cli\u003EManage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions\u003C/li\u003E\u003Cli\u003EBuild and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues\u003C/li\u003E\u003Cli\u003EAssist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation\u003C/li\u003E\u003Cli\u003EPartner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards\u003C/li\u003E\u003Cli\u003EExecute and manage trading-related compliance projects driven by regulatory change or internal initiatives from scoping through delivery\u003C/li\u003E\u003Cli\u003EInvestigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders\u003C/li\u003E\u003Cli\u003EDevelop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices\u003C/li\u003E\u003Cli\u003EMonitor market and regulatory developments that affect trading activities and translate them into clear internal policy and process updates\u003C/li\u003E\u003C/ul\u003E\u003Cbr\u003E\u003Ch3\u003EWhat’s required\u003C/h3\u003E\\n\u003Cul\u003E\u003Cli\u003EMinimum of 5 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance\u003C/li\u003E\u003Cli\u003EDemonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct\u003C/li\u003E\u003Cli\u003EProven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs\u003C/li\u003E\u003Cli\u003EDemonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice\u003C/li\u003E\u003Cli\u003EProven ability to analyze trading activity and alert data\u003C/li\u003E\u003Cli\u003EExperience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans\u003C/li\u003E\u003Cli\u003ETrack record of leading cross-functional projects to implement policy, system, or process changes related to trading\u003C/li\u003E\u003Cli\u003EExcellent verbal and written communication skills with the ability to influence senior stakeholders and explain technical topics clearly\u003C/li\u003E\u003Cli\u003ECommitment to the highest ethical standards\u003C/li\u003E\u003C/ul\u003E\u003Cbr\u003E\u003Ch3\u003EWe take care of our people\u003C/h3\u003E\\n\u003Cp\u003EWe invest in our people, their careers, their health, and their well-being. When you work here, we provide:\u003C/p\u003E\u003Cul\u003E\u003Cli\u003EFully-paid health care benefits\u003C/li\u003E\u003Cli\u003EGenerous parental and family leave policies\u003C/li\u003E\u003Cli\u003EVolunteer opportunities\u003C/li\u003E\u003Cli\u003ESupport for employee-led affinity groups representing women, people of color and the LGBT+ community\u003C/li\u003E\u003Cli\u003EMental and physical wellness programs\u003C/li\u003E\u003Cli\u003ETuition assistance\u003C/li\u003E\u003Cli\u003EA 401(k) savings program with an employer match and more\u003C/li\u003E\u003C/ul\u003E\u003Cbr\u003E\u003Ch3\u003EAbout Point72\u003C/h3\u003E\\n\u003Cp\u003EPoint72 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. 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