Compliance Officer
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Job Location:
Monthly Salary:
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
COMPLIANCE OFFICER
A CAREER WITH POINT72S COMPLIANCE TEAM
The Point72 Compliance department is a team of compliance professionals who support global investment and trading activities by establishing and enforcing the Firms compliance policies providing real-time advice and conducting pre and post trade surveillance. Our team is essential to Point72s success and we provide mentorship a growth path and the opportunity for a long-term career with us.
WHAT YOULL DO
Your focus will be on compliance monitoring records and register maintenance and advising on regulatory matters as they apply to Point72s 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 firms Code of Ethics
Managing any potential conflicts of interest
Conducting reviews relating to and advising employees on the Firms 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
WHATS 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 industrys brightest talent by cultivating an investor-led culture and committing to our peoples long-term growth. For more information visithttps:// Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
We invest in Discretionary Long/Short, Macro, and Systematic strategies. We’re inventing the future of finance by revolutionizing how we develop our people and how we use data to shape our thinking. Join our team to innovate, experiment, and be the best at what you do.
