The role of Compliance Officer – Sellside Management will be to oversee the end to end process of the firm’s relationships with our sellside research counterparties. The person will be in charge of conducting due diligence on proposed and existing sell-side relationships, benchmarking counterparties versus industry best practices, broker onboarding, and maintaining ongoing partnerships with the legal and compliance departments of approved brokers. In addition, the candidate will be in charge of implementing policies regarding front-office interactions with brokers, including sales and analyst touches, corporate access, and other products, as well as ensuring compliance with Point72s internal procedures regarding pre-clearance. The ideal candidate will have experience in a legal or compliance role in the equity research or sales and trading group at a top-tier sellside firm.
Requirements for the Role:
- College degree from top tier university
- JD strongly preferred
- At least three years of experience in a legal or compliance role in the equity research or sales and trading division of a top tier sellside firm.
- Familiarity with the full range of products offered by the sellside to buyside clients
- Project management or team leadership experience is a plus.
- Strong verbal and written communication skills.
Please send resume to firstname.lastname@example.org.
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