Senior Regulatory Counsel

Tower Research Capital, a high-frequency proprietary trading firm founded in 1998, seeks a Senior Regulatory Counsel to join our Legal & Compliance team. 

Responsibilities

• Managing regulatory actions and reporting; assisting with the coordination and collaboration with regulatory agencies and handling of regulatory agencies’ inquiries
• Providing advice and direction in developing and implementing compliance programs
• Handling certain investigations and litigation; conducting litigation preparation
• Working closely with the Legal & Compliance team to develop effective approaches to managing legal and regulatory risks
• Providing risk-principled legal, regulatory, and strategic advice as needed

Qualifications

• Juris Doctorate degree and admission to the bar required
• At least 15 years of experience in senior compliance or regulatory legal positions within financial services
• Experience working in both legal and compliance capacity; strong understanding of regulatory compliance environment
• Experience in implementing a compliance program
• Ability to work collaboratively and build strong working relationships with team members across a global organization
• Excellent communication skills

Anticipated annual base salary range $300,000 - 450,000, 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:

• Competitive salary and performance-based bonuses
• 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.