Compliance Officer

Job Description

Tower Research Capital India Pvt. Ltd., an affiliate of the high-frequency proprietary trading firm Tower Research Capital LLC, seeks a Compliance Officer to be part of the global Legal and Compliance Team. The Compliance officer will be based in the Gurgaon office.

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 prioritize and work under pressure, with both the quantity and quality of work being produced to maintain stated standards

Benefits:

Tower continues to enhance the in-house trading system and strategies that have positioned the firm as a leader in the thriving field of quantitative trading. While Tower offers challenges and rewards rivaling those of any Wall Street firm, Tower’s cubicle-free workplace, jeans-clad workforce, and well-stocked kitchens reflect the premium the firm places on quality of life. Benefits include:

  • Competitive salary
  • Five weeks of paid vacation per year
  • Breakfast, lunch, snacks, and dinner on a daily basis
  • Cab facility 
  • Wellness Allowance
  • Health club allowances

Tower Research Capital is an equal opportunity employer.