Regulatory Reporting Specialist Regulatory Reporting Specialist …

Point72 Asset Management
in Stamford, CT, United States
Permanent, Full time
Be the first to apply
Point72 Asset Management
in Stamford, CT, United States
Permanent, Full time
Be the first to apply
Regulatory Reporting Specialist
Experienced Professionals


Operations | Legal/Compliance


A Career with Point72's Regulatory Reporting Department

The Regulatory Reporting Department's overall global mandate is to provide governance across all regulatory filings and obligations for the Firm including but not limited to: completeness of the global inventory of filings, institute process and workflow controls, facilitate the creation of policies and procedures and provide process measurement reporting. The Department is responsible for report preparation for generating and coordinating responses for the larger cross departmental filings, managing external vendor relationships, have oversight over technology supporting regulatory filings and evaluate automation options, and administer data standards. The various Regulators include but are not limited to the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), National Futures Association (NFA), Federal Reserve/Treasury, Securities and Futures Commission (SFC), and Kanto Finance Bureau (KFB).

What you'll do

  • Collaborate with Compliance, Tax, Legal, Finance, Risk, Technology and Operations teams on various filings/requests
  • Prepare filing responses for various regulators (i.e. SEC, NFA)
  • Perform an independent verification to ensure completeness of the global inventory of filings and work with various functions to ensure an appropriate process, controls, policies and procedures are in place for each filing
  • Work with team and Technology to further develop a process for governing the global inventory of filings
  • Perform research/benchmark vendors to determine how others have automated their processes
  • Class action lawsuit analysis for anti-trust cases
  • Compliance inquiries/regulatory data requests
  • Various position and transaction monitoring checks
  • Review upcoming regulations and support various projects

What's required?

  • 5-7 years of work experience in financial services
  • Minimum of 3-5 years of regulatory reporting experience including but not limited to SEC, CFTC/NFA, Federal Reserve/Treasury, SFC, MAS and KFB filings
  • Exceptional communication skills and interpersonal skills are a must: the work is team-based and requires a relationship-oriented approach to effectively manage external vendors and internal clients
  • Highly organized, process driven, and structured
  • Superb attention to detail and the tenacity to produce meticulous work product
  • Adept at addressing questions and identifying the need to escalate issues, as appropriate
  • Capacity to juggle many tasks at once under pressure, prioritize such tasks, remain organized and see each through to completion
  • Superior problem solving and analytical skills
  • Takes ownership and holds accountability
  • Adaptable and willing to accept varied assignments across a broad range of responsibilities
  • Sound professional judgment
  • Trustworthy with sensitive information
  • Proficiency in Excel and MS Office Suite
  • Exceptional reading and writing skills
  • Understanding of hedge/investment fund structures
  • VBA and Python is a plus

We take care of our people
We invest in our people, their careers, their health, and their well-being. We want you to concentrate on success and leave the rest to us. When you work here, we provide:
  • Fully-paid health care benefits
  • Generous parental and family leave policies
  • Mental and physical wellness programs
  • Tuition assistance
  • A 401(k) savings program with an employer match and more

About Point72

Point72 Asset Management is a global firm led by Steven Cohen that invests in multiple asset classes and strategies worldwide. Resting on more than a quarter-century of investing experience, 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. We're inventing the future of finance by revolutionizing how we develop our people and how we use data to shape our thinking. For more information, visit .
Point72 is an Equal Opportunity Employer. Point72 is committed to the principles of equal employment opportunity for all employees and applicants for employment. Point72 complies with applicable, local, state and federal laws on the subject of equal employment opportunity.