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About the Role
Point72's Compliance department is seeking a Compliance Officer in London to support the Canvas FRG primary research group. This role involves working closely with the global Canvas Compliance team, acting as a point of contact for compliance matters, conducting due diligence, monitoring communications, and enhancing compliance oversight.
Responsibilities
- Act as a point of contact for compliance-related items for Canvas Research Analysts in EMEA and Asia.
- Conduct due diligence for new consultants and perform annual re-reviews.
- Chaperone consultant calls for Canvas Research Analysts and document interactions.
- Monitor and review communications between Canvas Research Analysts and discretionary investment professionals.
- Document chaperoned calls in the compliance management system and track consultant coverage.
- Facilitate quarterly invoicing and payment with the finance department in compliance with data privacy law.
- Participate in Insider Dealing/Insider Trading issues training for Canvas Research Analysts.
- Develop and implement ideas for improving compliance oversight and processes.
- Monitor and stay current on applicable EMEA laws, regulatory initiatives, and case law.
- Recommend and draft enhancements to existing policies and procedures.
Requirements
- 2-4 years of compliance experience in the financial services industry.
- Strong understanding of FCA and European regulatory environment.
- Attention to detail and the ability to produce meticulous work product.
- Highly organized, process-driven, and structured with the ability to work independently.
- Ability to manage multiple priorities under pressure, prioritize tasks, and see them through to completion.
- Ability to collaborate with the broader compliance team.
- Exceptional reading and writing skills.
- Outstanding communication and interpersonal skills.
- Commitment to the highest ethical standards.
Skills
- Compliance
- Financial Services
- FCA Regulatory Environment
- European Regulatory Environment
- Attention to Detail
- Organization
- Process Driven
- Independent Work
- Prioritization
- Collaboration
- Reading Comprehension
- Writing
- Communication
- Interpersonal Skills
- Ethical Standards
Location
- London
Work Type
- Full-time
Experience Level
- 2-4 years
Benefits
- Private Medical and Dental Insurances
- Generous parental and family leave policies
- Volunteer opportunities
- Support for employee-led affinity groups
- Mental and physical wellness programmes
- Tuition assistance
- Non-contributory pension
About the Company
- Point72 is a global firm led by Steven Cohen that invests in multiple asset classes and strategies worldwide.
- The firm has over a quarter-century of investing experience.
- Point72 aims to be the industry’s premier asset manager by delivering superior risk-adjusted returns, adhering to the highest ethical standards, and offering the greatest opportunities to talented individuals.
- The company is focused on inventing the future of finance by revolutionizing people development and data utilization.