Senior Compliance Officer

A Career with Point72’s Compliance Department 

The Point72 Compliance department is comprised of a team of professionals that supports global investment and trading activities by establishing and enforcing the firm’s compliance framework of policies and procedures, ensuring compliance with applicable laws and regulations, and providing real-time advice. Our team is essential to the success of Point72, and our compliance professionals are embedded in investment professional and investment services teams across the organization. We offer mentorship, a growth path, and the opportunity for a long-term career with Point72.

What you’ll do

As the Private Credit – Senior Compliance Officer, you will support and provide compliance leadership to the Point72 private credit business, becoming deeply knowledgeable about how the team(s) operate and conduct research. You will report directly to the Deputy Chief Compliance Officer and work closely to buildout, manage and monitor the compliance program for private credit. You will be the main point of contact for private credit investment professionals and resolve potential compliance issues identified, or concerns raised, other teams in Compliance such as Research Compliance, Code of Ethics, and Intelligence. Specifically, you will:

• Serve as an embedded private credit subject matter expert providing regulatory and compliance policy advice to the private credit business
• Assist with the design and further build out of the compliance infrastructure to support the private credit investment strategy, including drafting and enhancing applicable policies and procedures
• Monitor information barrier solutions in place to ensure appropriate physical and technology separation from other investment strategies at the firm to identify and prevent the misuse of material non-public information
• Continuously interact with private credit investment professionals to respond to real-time questions and issues
• Conduct new-hire and annual compliance training
• Analyze legal and compliance issues and provide interpretive advice regarding securities regulations and the firm’s policies and procedures
• Work in partnership with senior management and investment services colleagues to ensure effective and efficient communication of all relevant matters
• Stay abreast of regulatory and industry developments, maintain relationships with external counsel and assist with updating policies and procedures, as appropriate

What’s required

We are looking for a highly proficient, articulate, solution-oriented, and proactive person to join our team. Specifically, you will need:  

• Juris Doctorate degree from an accredited law school and bar membership
• Seven or more years of legal or compliance experience, including working at a registered investment adviser to private credit business
• Experience with Rule 10b-5 and the analysis of potential MNPI 
• Excellent written and verbal communication skills and the ability to build and maintain relationships across the firm
• Strong analytical, problem-solving, planning, and organizational skills
• Attention to detail and the ability to handle multiple tasks simultaneously
• 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 LGBTQ+ community
• Mental and physical wellness programs
• Tuition assistance
• A 401(k) savings program with an employer match and more

 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 www.Point72.com/about.

The annual base salary range for this role is $250,000-$300,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.