Cantor Fitzgerald: Regulatory Control Group, Analyst Cantor Fitzgerald: Regulatory Control Group,  …

Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Be the first to apply
Competitive
Cantor Fitzgerald: Regulatory Control Group, Analyst
AVP - Regulatory Control Group The Firm is seeking a Regulatory Control Group Analyst to monitor sales and trading activities and provide real-time support to front office personnel in a fast-paced, high-pressure environment. The Analyst will be conducting oversight of the Firm's sales and trading business with a focus on either Equities or Fixed Income products.
Specific Functions
• Manage compliance with applicable sales and trading regulations and monitor adequacy of supervisory controls.Create, modify and review surveillance reports related to front office activities
• Conduct delegated supervisory tasks and follow up as necessary with line-of-business supervisors and Compliance.
• Consult with supervisors and management to improve current supervisory processes.
• Work closely with other supporting functions to ensure written policies and procedures are up-to-date.
• Assist in researching and responding to regulatory inquiries and exams
• Conduct electronic communications reviews.

Desired Skills and Experience
• Bachelor's degree in an area such as finance, economics or business
• 2-4 years experience in a compliance, supervisory, surveillance or other regulatory capacity within the financial services industry
• Strong interpersonal, verbal and written communication skills
• Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines in a fast paced environment.
• Fast learner with a proactive and team first mindset
• Willingness to pass required regulatory exams (7, 24)
• Ability to work professionally and confidentially

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