What are the responsibilities and job description for the AVP, Regulatory Inquiries Compliance Associate position at Cantor Fitzgerald?
AVP, Regulatory Inquiries Compliance Associate
Location: Jacksonville, FL
Overview
Cantor Fitzgerald & Co. is seeking an Assistant Vice President (AVP), Regulatory Inquiries Compliance Associate to join our Compliance team. This individual will play a key role in managing the Firm’s responses to regulatory inquiries, ensuring submissions are accurate, complete, and timely. The AVP will work closely with internal stakeholders and serve as a primary point of contact for regulators on inquiry-related matters.
Job Description
- Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries.
- Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference.
- Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data.
- Assist with additional regulatory, compliance-related matters, and special projects as assigned.
Responsibilities
- Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA.
- Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready.
- Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations.
- Identify and appropriately escalate issues encountered during inquiry review or analysis.
- Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.
Qualifications
- In-depth knowledge of securities products, especially listed and OTC equities.
- Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
- Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
- Ability to manage and interpret communications between regulators and internal business units.
- Strong organizational, analytical, research, and written communication skills.
- Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
- Ability to work both independently and collaboratively in a fast-paced environment.
- Strong understanding of the securities industry regulatory framework.
- Familiarity with FINRA and SEC rules and regulations.
- Bachelor’s degree required; advanced degree or JD is a plus.
There is no relocation assistance available
Visa sponsorship is not available for this position