Regulatory Reporting Associate

A Career with Point72’s Regulatory Reporting Team  

The Regulatory Reporting department’s overall global mandate is to provide governance across all regulatory filings and obligations for the firm, including but not limited to ensuring completeness of the global inventory of filings, instituting process and workflow controls, facilitating the creation of policies and procedures, and providing process measurement reporting. The department is responsible for preparing reports, generating, and coordinating responses for larger cross departmental filings, managing external vendor relationships, oversight of Technology supporting regulatory filings, and evaluating automation options, and administering data standards. The various regulators include but are not limited to the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), National Futures Association (NFA), Federal Reserve/Treasury, Securities and Futures Commission (SFC), Kanto Finance Bureau (KFB), Financial Conduct Authority (FCA), and Monetary Authority of Singapore (MAS).

What you’ll do

• Prepare and review filing responses for various regulators (i.e., SEC, NFA, FCA, MAS)
• Gather requirements, perform functional analysis and data analysis, and develop functional and technical specifications
• Partner with business teams to clearly document requirements and workflows for regulations
• Help improve robust controls framework
• Conduct class action lawsuit analysis
• Respond to Compliance inquiries/regulatory data requests
• Conduct various position and transaction monitoring checks
• Utilize data analytical and automation tools to detect anomalies in reporting data and improve reporting processes
• Work with the development teams to ensure data is correctly sourced
• Delve into complex system infrastructure to understand impact of data flows, booking models, and trading systems on reporting details accuracy
• Monitor regulatory submissions and escalate issues accordingly

What's required?

• 3-6+ years of experience working in a regulatory reporting function at a financial institution
• Understanding of hedge/investment fund structures
• Working knowledge of financial products, e.g., equities, fixed income, exchange traded derivatives, OTC derivatives
• Proficiency in Excel and MS Office Suite
• Practical knowledge of SQL, Alteryx or Tableau
• Ability to juggle and prioritize among multiple tasks in a fast paced environment
• Superior problem solving, critical thinking and analytical skills
• Outstanding communication skills and interpersonal skills
• Sound professional judgment and ability to exercise discretion with sensitive information
• 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
• Mental and physical wellness programs
• Volunteer opportunities
• Non-profit matching gift program
• Support for employee-led affinity groups representing women, minorities and the LGBTQ+ community
• Tuition assistance
• A 401(k) savings program with an employer match and more

About Point72

Point72 Asset Management 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. For more information, visit www.Point72.com/working-here.

Last updated on Aug 19, 2024