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.


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


  • 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


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.