Cantor Fitzgerald: Equities Compliance Officer, Vice President Cantor Fitzgerald: Equities Compliance Officer,  …

Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 18 Feb 20
Competitive
Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 18 Feb 20
Competitive
Cantor Fitzgerald: Equities Compliance Officer, Vice President
Cantor Fitzgerald & Co.
Equities Compliance Officer - Vice President

Your Role
The Compliance department at Cantor Fitzgerald & Co. prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. As a member of the US Compliance group you'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, consulting, sales, and trading. We look for those who possess sound judgment, curiosity, and agility to adapt to a rapidly evolving regulatory landscape.

Responsibilities
    Cover Global Equities division personnel and provide advice on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices. Create and implement compliance training programs for equities professionals Assist with regulatory examinations, audits and inquiries Analyze new or amended laws, rules and regulations in order to formulate practical solutions to issues that impact Cantor Fitzgerald Coordinate with the business, legal, technology and other groups across the firm on new initiatives
Qualifications
    Bachelor's Degree (Law Degree a Plus) 2-5 years Compliance, Legal, Regulatory or Financial Services industry experience Excellent communication skills (oral and written) Knowledge of general equities and options trading rules and regulations (SEC, FINRA, NYSE, NASDAQ, CBOE, ISE, etc.) preferred Ability to handle multiple tasks simultaneously and work under pressure.


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