CFO / Compliance Officer / Financial Operations Principal
Tower Research Capital LLC, a high-frequency proprietary trading firm founded in 1998, seeks to expand its business into the brokerage space. We are seeking a dynamic and experienced CFO / Compliance Officer / Financial Operations Principal to direct this effort.
Responsibilities
- Supervise the registration of a new broker-dealer with the SEC and SROs.
- Handle compliance issues and regulatory filings, including computation of daily net capital requirements and filing of FOCUS reports.
- Manage and coordinate finance, administration, and IT functions for the firm including payroll and coordination of tax and audit production.
- Supervise the trading activities, including the setup of new trading relationships and risk management.
- Liaise with regulators, exchanges, and trading counterparties.
Qualifications
- Series 27 Financial Operations Principal (FINOP) registration.
- A bachelor's degree from a top college or university.
- At least five years of experience with a registered broker-dealer and demonstrated experience in financial accounting and compliance.
- Strong knowledge of broker-dealer regulatory issues.
- Excellent organizational and interpersonal skills.
- Must be self-motivated, outgoing, and proactive with the ability to work well under pressure, prioritize, and multitask.
- CPA (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
- 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 and TriBeCa Film Festival
To Apply
Please send your resume with GPA to finop@tower-research.com.
Tower is not accepting third-party resume submissions for this position.