Senior Surveillance Associate - Market Abuse
Point72Stamford, Connecticut, United States · Posted 22 days agoDescription
Senior Surveillance Associate - Market Abuse
A Career with Point72's Surveillance Team
Point72’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. We support senior management by providing strategic assessments, actionable recommendations, and real-time escalations. At Point72, members of the Surveillance team conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for our internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.
WHAT YOU'LL DO
- Conduct routine trade surveillance and investigations
- Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and firm policies, escalating suspicious or non-compliant events
- Partner with technology and compliance stakeholders to calibrate alert parameters and thresholds, and conduct data quality and completeness reviews across the market abuse surveillance program
- Craft intelligence questions and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis
- Use tools and methodologies such as structured analytic techniques to improve analysis, check assumptions, and identify signposts or indicators of change
- Work with managers to respond to information requests from financial regulators and ad-hoc taskings from members of the senior management team
- Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies
- Leverage resources, technology, and information to minimize risk and protect the firm
WHAT'S REQUIRED
- Bachelor’s degree from an accredited institution
- 3–5 years of trade surveillance experience at a buy-side firm, broker-dealer, exchange, or regulator, with a focus on market abuse
- Demonstrated experience identifying and investigating potential market abuse and manipulation behavior across multiple asset classes, with familiarity of applicable regulatory frameworks
- Experience analyzing large and complex trading datasets, including proficiency in SQL and Python
- Strong analytical and problem-solving skills with excellent attention to detail
- Proven effectiveness in written and verbal communication
- Ability to exercise sound judgment and observe the highest degree of confidentiality and discretion when handling highly sensitive information
- Ability to adapt to changing priorities to meet business needs
- 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 LGBT+ 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 https://point72.com/.
Similar jobs
Est. 205,000 USD
Devops Engineer, Surveillance A Career with Point72's Surveillance Team Point72’s Surveillance team sets the industry standard for intelligence-driven surveillance by proactively identifying, monitoring, and assessing va…
Est. 160,000 USD
A Career with Point72's Compliance Team The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the fir…
Est. 85,000 USD
Business Intelligence Analyst Point72’s Intelligence and Surveillance team sets the industry standard for intelligence driven analysis by proactively identifying, monitoring, and assessing various sources of risk using p…
Est. 80,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 120,000 USD
Business Intelligence Analyst A Career with Point72’s Intelligence and Surveillance Team Point72’s Intelligence and Surveillance team sets the industry standard for intelligence driven analysis by proactively identifying…
Est. 120,000 USD
A Career with Point72's Regulatory Reporting Team The Regulatory Reporting team provides governance across all regulatory filings and related obligations globally. The team is responsible for report preparation, generati…
Est. 212,500 USD
A Career with point72’s Surveillance team Point72’s Surveillance team sets the industry standard for intelligence-driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance ri…
Est. 80,000 USD
Join Point72’s Market Intelligence Internship & Emerging Talent Network Our proprietary research team—Market Intelligence—partners with our investment professionals and Compliance team to uncover insights about compa…
Est. 125,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 105,000 USD
A CAREER WITH POINT72’S MARKET INTELLIGENCE TEAM On our proprietary research team—Market Intelligence—you’ll partner with our investment professionals and Compliance team to work with alternative data to uncover insights…
Est. 120,000 PLN
A Career with Point72's Regulatory Reporting Team Point72's Regulatory Reporting department's global mandate is to provide governance across all regulatory filings and obligations for the firm, including but not limited…
Est. 60,000 GBP
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence— you will uncover insights about companies, industries, and the broader economy through deep compliant fundamental research and applying dat…
Est. 185,000 USD
A CAREER WITH POINT72’S ACADEMY TEAM The Point72 Academy is the firm’s training program for fundamental equities financial analysts. Designed for undergraduates and early-career professionals, this immersive curriculum c…
Est. 150,000 USD
A Career with Point72's Finance Team The Finance team provides a broad range of timely, accurate, relevant, and objective financial information, advice, and services to its business partners, with commitment to the highe…
A Career with Point72’s Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 120,000 USD
A Career with Point72’s Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
A CAREER WITH POINT72’S DATA SOURCING TEAM: We are looking for a Market Data Operations Associate to join our Enterprise Data Sourcing Team to help manage day-to-day market data operations around data governance, entitle…
Est. 172,500 USD
A CAreer with point72’s TECHNOLOGY TEAM As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…
Est. 120,000 PLN
Regulatory Reporting Manager A Career with Point72's Regulatory Reporting Team The Regulatory Reporting team provides governance across all regulatory filings and related obligations globally. The team is responsible for…
Est. 275,000 USD
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence—you’ll partner with our Investment Professionals and Compliance team to uncover insights about companies, industries, and the broader econom…
A Career with Point72's Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 137,500 USD
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence—you’ll partner with our investment professionals and Compliance team to uncover insights about companies, industries, and the broader econom…
Est. 190,000 USD
ABOUT PROPRIETARY RESEARCH On our proprietary research team—Market Intelligence—you’ll partner with our investment professionals and Compliance team to uncover insights about companies, industries, and the broader econom…
A Career with Point72's Operations Team Point72’s Operations team supports all operational aspects of trade processing, reconciliation, financing, and reporting firmwide for all products, including equities, derivatives,…
Est. 210,000 USD
It Operations Engineer, Trading Application Support A Career with Point72's Technology Team As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engin…
JOB TITLE Observability Engineer A CAREER WITH POINT72'S TECHNOLOGY TEAM As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities…
Est. 120,000 GBP
A Career with Point72's Market Intelligence Team On our proprietary research team—Market Intelligence—you’ll partner with our investment professionals and Compliance team to work with alternative data to uncover insights…
A CAREER WITH POINT72’S TECHNOLOGY TEAM As Point72 reimagines the future of investing, our Technology group is constantly improving our company’s IT infrastructure, positioning us at the forefront of a rapidly evolving t…
Est. 140,000 USD
A Career with Point72's Strategy Team The Strategy team is a multidisciplinary group that partners directly with the firm's businesses to identify, design, and lead value-creating strategic business initiatives. We enabl…
Est. 140,000 USD
A CAreer with point72’s technology TEAM As Point72 reimagines the future of investing, our Technology team is constantly evolving our firm’s IT infrastructure and engineering capabilities, positioning us at the forefront…