Tower Research Capital LLC
Compliance Officer
Tower Research Capital LLC, New York, New York, us, 10261
Tower Research Capital, a high-frequency proprietary trading firm founded in 1998, seeks a Compliance Officer to join our Legal and Compliance team.
Responsibilities
Providing ongoing compliance advice to Tower's trading teams and reviewing new product requests Assisting in the maintenance of the existing Broker Dealer compliance programs Monitoring of regulatory developments and succinctly communicating risks/opportunities to relevant groups in the firm Developing and maintaining compliance policies and procedures Preparing and providing training for Tower personnel Responding to regulatory inquiries and exam requests Reviewing of escalated alerting from the firm's central surveillance function Leading compliance initiatives and collaborating on strategic projects, including implementation of compliance programs Qualifications
At least 5 - 10 years of relevant work experience in a regulatory compliance role with a financial services firm Working knowledge of electronic trading in a variety of asset classes, including equities, equity options and futures, fixed income, and foreign currency Experience interpreting US Broker Dealer regulations and requirements and maintaining compliance within FINRA and SEC regulatory regimes Knowledge of regulatory reporting specifications and processes (e.g. CAT, Trace) and the expertise to apply them to Tower's lines of business Ability to write and review internal policies and Supervisory Procedures Proven analytical skills, including the analysis of large amounts of order and trade data whilst maintaining attention to detail Ability to work both independently and within a team of employees from multiple departments Strong verbal and written communication skills Anticipated annual base salary range is $140,000-$170,000, plus eligible for discretionary bonus.
Benefits
Tower's dual offices and garden roof decks are located in TriBeCa and SoHo, neighborhoods in downtown Manhattan. While we work hard, Tower's cubicle-free workplace, jeans-clad workforce, and well-stocked kitchens reflect the premium the firm places on quality of life. Benefits include:
401(k) with company matching 5 weeks of paid vacation per year plus 11 paid holidays Free breakfast, lunch, and snacks on a daily basis Reimbursement for health and wellness expenses Free events and workshops Donation matching program
Tower Research Capital is an equal opportunity employer.
Responsibilities
Providing ongoing compliance advice to Tower's trading teams and reviewing new product requests Assisting in the maintenance of the existing Broker Dealer compliance programs Monitoring of regulatory developments and succinctly communicating risks/opportunities to relevant groups in the firm Developing and maintaining compliance policies and procedures Preparing and providing training for Tower personnel Responding to regulatory inquiries and exam requests Reviewing of escalated alerting from the firm's central surveillance function Leading compliance initiatives and collaborating on strategic projects, including implementation of compliance programs Qualifications
At least 5 - 10 years of relevant work experience in a regulatory compliance role with a financial services firm Working knowledge of electronic trading in a variety of asset classes, including equities, equity options and futures, fixed income, and foreign currency Experience interpreting US Broker Dealer regulations and requirements and maintaining compliance within FINRA and SEC regulatory regimes Knowledge of regulatory reporting specifications and processes (e.g. CAT, Trace) and the expertise to apply them to Tower's lines of business Ability to write and review internal policies and Supervisory Procedures Proven analytical skills, including the analysis of large amounts of order and trade data whilst maintaining attention to detail Ability to work both independently and within a team of employees from multiple departments Strong verbal and written communication skills Anticipated annual base salary range is $140,000-$170,000, plus eligible for discretionary bonus.
Benefits
Tower's dual offices and garden roof decks are located in TriBeCa and SoHo, neighborhoods in downtown Manhattan. While we work hard, Tower's cubicle-free workplace, jeans-clad workforce, and well-stocked kitchens reflect the premium the firm places on quality of life. Benefits include:
401(k) with company matching 5 weeks of paid vacation per year plus 11 paid holidays Free breakfast, lunch, and snacks on a daily basis Reimbursement for health and wellness expenses Free events and workshops Donation matching program
Tower Research Capital is an equal opportunity employer.