Surveillance Associate

A Career with Point72’s Surveillance team

Point72’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. We support senior management by providing strategic assessments, actionable recommendations, and real-time issue escalations. At Point72, Surveillance associates conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for our internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.

What you’ll do

• Conduct routine trade surveillance and investigations
• Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and Firm policies, and escalate suspicious or non-compliant events
• Produce risk assessments
• Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies
• Leverage resources, technology, and information to minimize risk and protect the firm

You may also be asked to:

• Brief firm CCO and CSO on key findings from risk assessments
• Work with managers to respond to information requests from financial regulators and other external parties
• Collaborate on ad hoc taskings from members of the senior management team

 To succeed as a surveillance associate at Point72, you must also prioritize our values:

• Integrity: we demonstrate the highest standards of ethics and integrity. Our work is truthful, direct, and unbiased. We protect sensitive and confidential information and exercise discretion in all aspects of our work.
• Teamwork: we collaborate and support each other to accomplish our goals. We push each other to be better because we are only as strong as our weakest member.
• Respect: we have built a respectful team culture centered on open communication, sharing, listening, and recognition of team members at all levels.
• Innovation and Excellence: we don’t settle and we don’t believe in “good enough”. We bring our best effort every day and are relentless about improvement.
• Courage: we are not afraid to fail. We produce difficult and high stakes work in an environment with a high degree of uncertainty.
• Curiosity: We always ask “why”? We don’t accept the first answer or the easy answer; our goal is to understand. We don’t just report information; we put information into context and provide insight and analysis.

 What’s required

We hire candidates with a wide range of academic and professional backgrounds; some come from financial institutions, the private sector, or join soon after completing graduate or professional school, while others have prior experience working in the US Intelligence Community. We expect you to be excited and willing to put in the effort required to quickly learn about the industry. Specifically, you will need:

• A bachelor’s degree and two or more years of prior experience in financial services, compliance, or investigations
• Prior surveillance or closely related experience at a regulatory authority, bank, broker, or buy-side firm is highly desired
• Strong analytical and problem-solving skills, and excellent attention to detail
• Proven effectiveness in written and verbal communication
• The ability to exercise sound judgement, exhibit an attention to detail, and observe the highest degree of confidentiality and awareness when handling highly sensitive information
• The ability to adapt to changing priorities to meet business needs
• Substantive knowledge of equities markets and basic trading strategies
• 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, LP is a global firm led by Steven Cohen that invests in multiple asset classes and strategies worldwide. Resting on more than a quarter-century of investing experience, we seek to be the industry’s premier asset manager through delivering superior risk-adjusted returns, adhering to the highest ethical standards, and offering the greatest opportunities to the industry’s brightest talent. We’re inventing the future of finance by revolutionizing how we develop our people and how we use data to shape our thinking. For more information, visit www.Point72.com/working-here.

•

Last updated on Oct 6, 2023