Compliance Officer

About the Job :

Tower Research Capital is a leading quantitative trading firm founded in 1998. Tower has built its business on a high-performance platform and independent trading teams. We have a 25+ year track record of innovation and a reputation for discovering unique market opportunities.

Tower is home to some of the world's best systematic trading and engineering talent. We empower portfolio managers to build their teams and strategies independently while providing the economies of scale that come from a large, global organization.

Engineers thrive at Tower while developing electronic trading infrastructure at a world class level. Our engineers solve challenging problems in the realms of low-latency programming, FPGA technology, hardware acceleration and machine learning. Our ongoing investment in top engineering talent and technology ensures our platform remains unmatched in terms of functionality, scalability and performance.

At Tower, every employee plays a role in our success. Our Business Support teams are essential to building and maintaining the platform that powers everything we do — combining market access, data, compute, and research infrastructure with risk management, compliance, and a full suite of business services. Our Business Support teams enable our trading and engineering teams to perform at their best.

At Tower, employees will find a stimulating, results-oriented environment where highly intelligent and motivated colleagues inspire each other to reach their greatest potential. 

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.

Tower Research Capital is an equal opportunity employer.