Senior Surveillance Associate at PointStamford, CT

About the Point
72 Surveillance Team:
Point
72’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 Point
72, 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.

• conduct routine trade surveillance and investigations;
• conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and Firm policies, and elevate suspicious or non-compliant events;
• craft intelligence questions, and appropriately scope research to produce sophisticated and well‑written analysis that provides insight and risk analysis, not simply information;
• use tools and methodologies such as structured analytic techniques to improve analysis, check assumptions, and identify signposts or indicators of change;
• 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.

• brief Firm CCO and CSO on key findings from analytic assessments;
• work with managers to respond to information requests from financial regulators and other external parties;
• collaborate on ad hoc taskings from members of the senior management team;

• Integrity: we demonstrate the highest standards of ethics and integrity. Our work is truthful, direct, and unbiased. We protect sensitive and confidential information and exercise discretion in all aspects of our work.
• Teamwork: we collaborate and support each other to accomplish our goals. We push each other to be better because we are only as strong as our weakest member.
• Respect: we have built a respectful team culture centered on open communication, sharing, listening, and recognition of team members at all levels.
• Innovation and Excellence: we don’t settle, and we don’t believe in “good enough”. We bring our best effort every day and are relentless about improvement.
• Courage: we are not afraid to fail. We engage in difficult and high stakes work in an environment with a high degree of uncertainty.
• Curiosity: we always ask “why”? We don’t accept the first answer or the easy answer; our goal is to understand. We go beyond reporting to put information into context and to provide actionable insights and analysis.

• a bachelor’s degree, master’s degree preferred, with five or more years of prior professional experience working as an intelligence analyst, investigator, or in a closely related role;
• strong analytical and problem‑solving skills, and excellent attention to detail;
• proven effectiveness in written and verbal communication;
• the ability to exercise sound judgement and observe the highest degree of confidentiality and discretion when handling highly sensitive information;
• the ability to adapt to changing priorities to meet business needs.

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