eFinancialCareers

• Company

  Tower Research Capital LLC

• Location

  New York, NY, 10013

• Compensation

  Depends on experience

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  05 Nov 2009

• eFC Ref no

  587553

Tower Research Capital LLC, a high-frequency proprietary trading firm, seeks a motivated and highly organized Compliance Associate to support Tower’s Compliance and Legal teams. The candidate should be proactive and meticulously attentive to detail. This role offers many opportunities for professional development.

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Responsibilities:

• Reviewing, preparing for filing, and scanning physical and electronic copies of documents that Tower has filed with regulators or exchanges
• Updating and maintaining systems to organize physical and electronic files
• Responding to requests for records from various internal departments
• Assisting the Chief Compliance Officer in compliance matters, including the monitoring of personal trading, e-mail surveillance, and anti-money laundering program
• Assisting in updating Compliance Manuals and related policies
• Assisting the Chief Compliance Officer with designing and implementing training programs
• Drafting correspondence in response to informal questions posed by executing brokers, exchanges, or regulators on trading issues, including wash trades, short sales, and similar issues
• Taking notes at and drafting summaries of committee meetings
• Tracking of statutory and regulatory changes that could impact the firm
• Assisting Legal and Compliance teams with regulatory filings and audits

Qualifications:

The ideal candidate holds a bachelor’s degree from a top school and is:

• Professional, organized, and detail-oriented
• Proficient at developing organizational processes and systems
• Patient and attentive when gathering background facts
• Willing to take a proactive approach to projects
• A clear and precise writer
• An excellent communicator who can strike a balance between putting colleagues at ease and stressing the gravity of a matter
• Patient with a good sense of humor
• Proficient with the Microsoft Office Suite

Experience at a law firm or investment bank and the ability to read French are both large plusses.

Benefits:

Tower’s offices and garden roofdeck are located in TriBeCa, a neighborhood in downtown Manhattan. While Tower offers challenges and rewards rivaling those of any Wall Street firm, the cubicle-free office, jeans-clad workforce, and well-stocked kitchens reflect the premium Tower places on quality of life. Benefits include:

• Competitive salary
• 401(k) with company matching
• Five weeks of paid vacation per year plus 10 paid holidays
• In-house seminars on finance and the mathematics of finance at intermediate and advanced levels
• Free breakfast, lunch, and snacks on a daily basis
• Free gym membership
• Free tickets to New York events, including the US Open, TriBeCa Film Festival, and Shakespeare in the Park

To Apply:

Please send your resume and cover letter to compliancejob@tower-research.com. Please entitle your email “Compliance Associate – Your Name.”

Tower is not accepting third-party resume submissions for this position.

Tower Research Capital LLC (“Tower”) and Ambrose Employer Group, LLC (“Ambrose”) are committed to ensuring equal employment opportunity for all employees, including qualified employment applicants. The companies strive to maintain an environment free of discrimination based on race, color, religion, gender, national origin, ancestry, age, disability, veteran status, marital status, sexual orientation, citizenship, or any other protected category or characteristics. This equal employment opportunity policy applies to all employment practices, including but not limited to recruiting, hiring, advertising, promotion, transfer, reductions in force, social and recreational programs, training, employee development, compensation and fringe benefits, discipline, and termination.