Tower Research Capital · 2 months ago
Compliance Officer
Gift City
Full-time
Onsite
Senior Level
5+ years expTower Research Capital is a leading quantitative trading firm founded in 1998, known for its high-performance platform and independent trading teams. The Compliance Officer will focus on executing the India Compliance program and managing broader APAC Compliance matters, ensuring adherence to regulatory standards and advising stakeholders accordingly.
Financial Services
Responsibilities
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
Qualification
Required
Graduate in a relevant degree
5 years of professional experience
Good Understanding of the capital market rules and regulations, circulars etc
Ability to prioritise and work under pressure, with both the quantity and quality of work being produced to maintain stated standards
Preferred
NISM Series IIIA certified (not compulsory)
Benefits
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
Company
Tower Research Capital
Tower Research Capital is a computerized trading firm in the field of high-frequency trading.
1001-5000 employees
H1B Sponsorship
Tower Research Capital has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (35)
2024 (35)
2023 (31)
2022 (44)
2021 (31)
2020 (35)
Funding
Current Stage
Late StageLeadership Team
Richard Colpron
CFO
Sean Concannon, CPA
Chief Financial Officer
Recent News
2025-11-19
vcnewsdaily.com
2025-10-11
Venture Capital Firms
2025-10-10
Company data provided by crunchbase