Compliance Officer
Japan
Confirmed live in the last 24 hours
Locations
Stamford, CT, USA
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
Requirements
- 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
Responsibilities
- 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
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.
Benefits
- 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