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Compliance Officer
Confirmed live in the last 24 hours
Stamford, CT, USA
Experience Level
Desired Skills
  • Prior exposure to trade, control room, research, surveillance and/or regulatory compliance programs required
  • Native Japanese (reading, writing and spoken) and fluent English (reading, writing and spoken) language skills
  • Current knowledge of Japanese regulatory requirements including the Financial Instruments and Exchange Law regime
  • Ability to work effectively with individuals at all levels, both internally and externally with regulators and outside counsel
  • Excellent judgment and the ability to provide time-sensitive guidance confidently and decisively
  • Strong verbal and written communication skills
  • Commitment to the highest ethical standards
  • Provide ongoing guidance regarding the interpretation and application of laws, regulations, and Firm policies applicable to the Tokyo office; help improve and refine internal policies and procedures
  • Provide ongoing guidance to investment professionals and back-office personnel
  • Closely monitor trading and operational activities according to applicable laws, regulations, and policies
  • Monitor employee personal trading activities
  • Provide compliance training to all new hires and Firm personnel as needed
  • Work closely with compliance officers in other regions to enforce consistent expectations and messaging Firm-wide. and to promote the Firm's culture of excellence and integrity

1,001-5,000 employees

Discretionary short/long, macro, & systematic trading firm
Company Overview
Point72's mission is to be the industry’s premier asset management firm through delivering superior risk-adjusted returns, adhering to the highest ethical standards and offering the greatest opportunities to the industry’s brightest talent.
  • 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 LGBT+ community
  • Tuition assistance
  • A 401(k) savings program with an employer match and more
Company Core Values
  • Ethics & Integrity
  • Firm First
  • Innovation & Excellence
  • Growth & Development
  • Community