AVP – Surveillance and Compliance Advisory – Regulatory Control Group

Job Title: AVP – Surveillance and Compliance Advisory – Regulatory Control Group

Location: New York, NY

Firm Overview:

Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. 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. For 79 years, 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.

Responsibilities:

• Help manage the equity supervision and surveillance program
• Run calibrations and document results to ensure appropriate alert parameters are in place
• Ensure written supervisory procedures and followed and up to date
• Assist the trading desk with real time questions
• Evaluate industry enforcement actions and regulatory changes relevant to Cantor
• Aid in responding to regulatory inquiries and exams
• Conduct new hire training and targeted training with sales and trading
• Conduct electronic communications reviews on behalf of supervisors

Qualifications:

• 2-4 years’ experience with a focus on equities surveillance and advisory
• Understanding of equity market structure, sales and trading best practices, and trade reporting
• Familiarity with order management systems such as Fidessa and surveillance tools such as Nasdaq Trade Surveillance
• Strong interpersonal, verbal and written communication skills
• Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines
• Fast learner with a proactive and team-oriented mindset
• Ability to work professionally and confidentially
• SIE, Series 7 and Series 24 required for role but not a pre-requisite

Educational Qualifications:

• Bachelor’s Degree required

Salary: $125,000- $150,000

The actual base salary will be determined on an individualized basis taking into account 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, 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.).