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Compliance Officer

4 weeks ago

Gujarat International Finance TecCity, India Tower Research Capital Full time
Responsibilities :

An ideal candidate should have experience of no less than 5 years of working with broking houses, preferably HFT/ algo firms. His/her role will be focussed on the execution of Tower’s India Compliance program and some broader APAC Compliance matters.

Collaborating in the execution of the Compliance program: Advising stakeholders on the policies and standards expected of the business unit Understanding regulatory changes and assessing applicability and impact on the company’s business Keeping policies across the business up to date and tracking where refreshers are required Working on systems, cyber and Internal Audits in terms of regulatory guidelines issued by SEBI and Exchanges, and, regulatory inspections and enquiries Reviewing and analyzing exchange circulars and regulations and answering queries of stakeholders Reviewing surveillance reports escalated to advisory compliance and following up with relevant stakeholders on outputs Working on broader APAC Compliance projects and initiatives as required Tracking regulatory deadlines, facilitating submissions Expected to possess up to date knowledge on SEBI and Exchange regulations and guidelines

Qualifications:

Graduate in a relevant degree 5 years of professional experience Good Understanding of the capital market rules and regulations, circulars etc. NISM Series IIIA certified (not compulsory) Ability to prioritise and work under pressure, with both the quantity and quality of work being produced to maintain stated standards

Benefits:

Tower’s headquarters are in the historic Equitable Building, right in the heart of NYC’s Financial District and our impact is global, with over a dozen offices around the world.

At Tower, we believe work should be both challenging and enjoyable. That is why we foster a culture where smart, driven people thrive – without the egos. Our open concept workplace, casual dress code, and well-stocked kitchens reflect the value we place on a friendly, collaborative environment where everyone is respected, and great ideas win.

Our benefits include:

Generous paid time off policies Savings plans and other financial wellness tools available in each region Hybrid working opportunities Free breakfast, lunch and snacks daily In-office wellness experiences and reimbursement for select wellness expenses (e.g., gym, personal training and more) Volunteer opportunities and charitable giving Social events, happy hours, treats and celebrations throughout the year Workshops and continuous learning opportunities

At Tower, you’ll find a collaborative and welcoming culture, a diverse team and a workplace that values both performance and enjoyment. No unnecessary hierarchy. No ego. Just great people doing great work – together.