Control Room Compliance Analyst Control Room Compliance Analyst …

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
Control Room Compliance Analyst
Cantor Fitzgerald - Control Room Compliance Analyst

This Compliance Analyst will be involved in learning the fundamentals associated with Equity Research, Debt Research, and Investment Banking with opportunity for growth in the US Control Room. The Control Room Analyst will be primarily responsible for:

• Maintaining the firm's Watch list
• Maintaining the firm's Restricted list
• Performing surveillance for firm trading
• Performing surveillance for customer trading
• Performing surveillance for employee trading
• Overseeing the process around research rating changes, initiations, and terminations
• Managing disclosures and disclaimers for Equity Research
• Managing Account distribution for Debt Research
• Facilitating Capital Markets-related regulatory reporting
• Assisting in the implementation of policies and procedures
• Assisting in the development and implementation of business-specific Compliance Training programs

Cantor Fitzgerald & Co. (the "Company") is an Equal Employment Opportunity (EEO) employer. This means that the Company provides equal opportunity in all aspects of the employer-employee relationship, including recruiting, hiring, promotion, conditions and privileges of employment, training, compensation, benefits, transfers, discipline, and termination of employment, and seeks to prevent any prohibited discrimination or harassment based upon any classification or status protected by applicable law (which can include race, color, gender, age, sexual orientation, gender identification, religion, national origin or ancestry, citizenship, veteran status, marital status, physical or mental disability, pregnancy, genetic information and other factors protected by law).

Close
Loading...