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Compliance Officer, Asia Pacific
2 months ago
We are seeking a highly skilled Compliance Officer to join our Asia-Pacific team at Point72. As a key member of our compliance team, you will play a critical role in ensuring the firm's adherence to regulatory requirements and industry standards.
Key Responsibilities- Enforce compliance monitoring programs, including trade monitoring and due diligence reviews, to ensure the firm's operations are in line with regulatory requirements.
- Handle compliance regulatory reporting for the Asia-Pacific region, ensuring timely and accurate submissions.
- Provide real-time support with respect to trading restrictions, monitoring, and approvals, ensuring seamless operations.
- Track pertinent regulatory changes, assess their impact on business operations, and help amend procedures and communicate changes to relevant stakeholders.
- Provide proactive and timely advice on relevant regulatory and firm policy requirements, ensuring compliance and minimizing risk.
- Deliver periodic compliance training to employees, ensuring they are aware of regulatory requirements and industry standards.
- Review and/or draft documentation, applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records, ensuring accuracy and compliance.
- Assist with ad-hoc legal and compliance tasks and projects, including technology enhancements, to support the firm's growth and operations.
- University graduate with a degree in a relevant field, such as law, finance, or business.
- At least 6+ years of compliance experience, preferably in an equity trading or asset management environment.
- Knowledge of SFC regulations and rules, as well as Asia market regulations.
- Strong multitasking, organizational, and communications skills, with the ability to work effectively in a team environment.
- Strong attention to detail and accuracy, with the ability to maintain confidentiality and handle sensitive information.
- Ability to work independently, as well as part of a team, with a commitment to delivering high-quality results.
- English and Chinese language skills, with proficiency in Bloomberg and Excel.
- Commitment to the highest ethical standards, with a strong understanding of regulatory requirements and industry standards.
Point72 is a global firm led by Steven Cohen, investing in multiple asset classes and strategies worldwide. 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.