Compliance Manager
Tower Research Capital - New York, NY

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Tower Research Capital LLC, a high-frequency proprietary trading firm founded in 1998, seeks a Compliance Manager to work with Tower’s in-house Compliance and Legal departments. This role offers many opportunities for professional development in a quickly-growing firm.

  • Developing and implementing compliance policies and procedures for Tower’s global trading businesses
  • Coordinating the response to regulatory exams, inquiries, and related matters raised by the Securities and Exchange Commission, the Commodities Futures Trading Commission, various U.S. self-regulatory organizations and exchanges, and international regulators by working closely with Tower’s trading teams and other Tower departments
  • Building and monitoring surveillance of Tower’s trading on multiple markets
  • Facilitating the addition of new markets, business lines, and counterparty relationships in the U.S. and abroad in conjunction with Tower’s Accounting, Legal, and Operations departments and outside counsel
  • Researching and liaising with senior management regarding the legal and regulatory impact of new legislation and proposed or final rules and regulations, including drafting comment letters relating to proposed regulations and working with industry groups to draft group responses
  • Preparing and maintaining regulatory filings
  • Assisting in the development of compliance training for employees and conducting training sessions
  • Acting as a resource to educate and train more junior members of the Compliance team
Qualifications The ideal candidate will have 6-10 years of regulatory compliance experience in a broker-dealer, trading, or asset management firm. In addition, he or she should have:
  • Significant experience with SEC, FINRA, CFTC, and other regulators and familiarity with rules relating to broker-dealers, proprietary trading firms, and investment advisers
  • Knowledge of U.S. trading rules, including Reg. SHO, Reg. NMS, and specific rules of exchanges
  • Experience working with trading desks and the ability to give well-considered and practical advice to traders and senior management
  • Familiarity with the trading of various instruments, including stocks, fixed-income products, foreign exchange, futures, commodities, and energy interests
  • Experience dealing with electronic trading issues in the U.S. and abroad
  • A strong network of securities and futures industry contacts and experience working with industry groups
  • Excellent written and verbal communication skills
  • Outstanding organizational abilities and a strong attention to detail
  • The ability to work effectively both in a team environment and independently
  • The ability to coordinate large and complex projects
  • Bachelor’s degree and excellent transcripts
  • Law degree or master’s degree (a plus)
Benefits Tower’s offices and garden roofdeck are located in TriBeCa, a neighborhood 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:
  • Competitive salary determined by experience level
  • 401(k) with company matching
  • Five weeks of paid vacation per year plus nine paid holidays
  • Free breakfast, lunch, and snacks on a daily basis
  • Free gym membership
  • Free tickets to New York events, including the US Open and TriBeCa Film Festival

About this company
Tower Research Capital LLC is a financial services firm located in New York that specializes in quantitative trading and investment...