Compliance Officer

COMPLIANCE OFFICER

A CAREER WITH POINT72’S COMPLIANCE TEAM
The Point72 Compliance department is a 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
Your focus will be on compliance monitoring, records and register maintenance, and advising on regulatory matters as they apply to Point72’s Singapore operations. Your primary reporting line will be to the Senior Compliance Officer, Singapore and you will also work closely with other APAC Compliance Officers, providing necessary cover for them as and when required.
Specific responsibilities will include:

Core Compliance
• Monitoring employees’ compliance with the firm's Code of Ethics
• Managing any potential conflicts of interest
• Conducting reviews relating to and advising employees on the Firm’s personal trading policy
• Administering periodic compliance training and compliance monitoring programs and arrangements
• Assisting with ad-hoc projects and regional compliance coverage

Regulatory Compliance
• Monitoring and tracking new hires / visitors and reviewing their work activities to ensure that they are appropriately licensed where deemed necessary
• Administering various regulatory filings and notifications including licensing applications and related on-going notification requirements
• Maintaining the Register of Interests for Appointed Representatives and tracking and following up with Appointed Representatives to ensure they meet the Continuous Professional Development hours
• Tracking pertinent regulatory developments, assessing their impact on business operations, and assisting with the creation of corresponding policies and procedures
• Providing proactive and timely advice on relevant regulatory and fFirm policy requirements

Information Management
• Point of contact for front office staff for potential Material Non-Public Information (MNPI) issues and providing real-time advice on research related matters
• Vetting and chaperoning of broker/third-party events requested by the front office
• Handling compliance tasks required throughout the investment professional candidacy process (such as interviews and reviews of project work), onboarding, and monitoring all relevant restrictions

WHAT’S REQUIRED
In this role, you will need to maintain a detailed knowledge of all applicable MAS regulations and have a keen interest in performing daily routine monitoring tasks and working with others to resolve compliance-related issues as they occur. Specifically, you should have:

• Commitment to the highest ethical standards
• A minimum 5 years of relevant experience with an asset management firm, securities regulator, broker, law-firm, or compliance consultant
• Thorough knowledge of Singapore securities laws including the Securities and Futures Act, the Capital Markets Services License regime and associated rules, regulations and guidelines
• A degree from a reputable institution (banking, finance, accountancy or similar field)
• Excellent interpersonal and communication skills (written and verbal) and the ability to work with stakeholders at all levels
• Strong principles and ethics and a meticulous approach to the work being undertaken
• Excellent analytical skills

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
• Support for employee-led affinity groups representing women, minorities and the LGBT+ community
• Tuition assistance

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/.