Compliance Officer

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**

**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
- 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
- Responding to audit and regulatory inquiries and surveys
- Providing proactive and timely advice on relevant regulatory and Firm policy requirements

**Trading Compliance**
- Monitoring the Firm’s trading activities to ensure compliance with global trading regulations and internal policies
- Maintaining restricted trading list and providing real-time trading guidance to front office staff
- Administering regulatory reporting of long and short positions and OTC derivatives contracts

**Information Management**
- Point of contact for front office staff for potential Material Non-Public Information issues and providing real-time advice on research related matters
- Vetting and chaperoning of broker/third-party events requested by the front office

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.

**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. In addition, you will need:

- 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 and the OTC Derivatives reporting regime
- 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:

- 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

**About Point72