Associate, Client Due Diligence Quality Checker

Associate, Client Due Diligence Quality Checker

Jacksonville, Florida, United States (4 days in office/1 day remote)

**No Sponsorship Available (include F1)

**No Relocation Available

Cantor Fitzgerald, with over 16,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945.

Cantor is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm’s financial acumen and technology prowess, Cantor’s portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world.

As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed.

The primary function of this role within the Client Data Management team of Cantor Fitzgerald is to perform quality assurance reviews of Customer Due Diligence (CDD) and Know Your Customer (KYC) processes. The CDD Quality Checker Associate is responsible for ensuring the accuracy, completeness, and compliance of client due diligence records in line with internal policies and regulatory requirements.

This role plays a critical part in mitigating financial crime risk by identifying deficiencies, supporting remediation efforts, and enhancing overall process quality. The position requires strong analytical skills, a deep understanding of CDD/KYC frameworks, and the ability to collaborate effectively with Compliance, AML, and Operations teams.

Key responsibilities:

CDD/KYC Quality Reviews:

Conduct detailed quality assurance reviews of CDD/KYC files, including client identification, beneficial ownership, risk assessments, and supporting documentation. Ensure all records meet internal and regulatory standards.

Assessment of Compliance and Standards:

Evaluate adherence to internal policies, AML/BSA regulations, and global regulatory frameworks (e.g., FATF). Identify gaps, inconsistencies, or missing information within due diligence processes.

Error Identification and Feedback:

Document findings clearly and provide structured, actionable feedback to analysts and onboarding teams to improve quality and consistency.

Governance and Controls:

Support and enforce quality control frameworks, procedures, and checklists to ensure consistency and standardization across CDD/KYC processes.

CDD/KYC Quality Reviews:

Conduct detailed quality assurance reviews of CDD/KYC files, including client identification, beneficial ownership, risk assessments, and supporting documentation. Ensure all records meet internal and regulatory standards.

Assessment of Compliance and Standards:

Evaluate adherence to internal policies, AML/BSA regulations, and global regulatory frameworks (e.g., FATF). Identify gaps, inconsistencies, or missing information within due diligence processes.

Error Identification and Feedback:

Document findings clearly and provide structured, actionable feedback to analysts and onboarding teams to improve quality and consistency.

Governance and Controls:

Support and enforce quality control frameworks, procedures, and checklists to ensure consistency and standardization across CDD/KYC processes.

Skills / experience required:

• Bachelor's Degree
• Proven experience in CDD, KYC, AML, or Financial Crime Compliance within a regulated environment
• Prior experience in a Quality Assurance or Quality Control role strongly preferred
• Strong understanding of customer due diligence requirements, including beneficial ownership and risk rating methodologies
• Familiarity with regulatory frameworks such as BSA/AML, FATF, or equivalent global standards
• Excellent attention to detail with the ability to identify errors, inconsistencies, and process gaps
• Strong analytical and problem-solving skills with a risk-based approach to decision-making
• Effective communication skills, with the ability to deliver clear and constructive feedback
• Ability to manage multiple priorities and work independently in a fast-paced environment
• Proficiency in Microsoft Office; experience with KYC/CDD systems or case management tools is a plus

Systems used:

KYC/CDD Systems

Name/Sanctions Screening Tools

Local and International Registries

Microsoft Suite

Base salary: Starting at $60,000 plus Bonus

The actual base salary will be determined on an individualized basis considering a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package (including health, vision, and dental insurance, paid time off and a 401(k) retirement), this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).

We do not accept unsolicited resumes, candidate referrals, or outreach from third-party recruiters or staffing agencies. Any such submissions will be considered property of Cantor Fitzgerald and will not be eligible for any placement fee. Recruiters must have a signed agreement with our Talent Acquisition team and be invited to submit candidates for a specific role. Direct contact with hiring managers or employees is strictly prohibited.