What are the responsibilities and job description for the VP, Senior Compliance Officer position at Cantor Fitzgerald?
VP, Senior Compliance Officer
Location: Miami, FL
Employment Type: Full-Time, In Office
Experience: 5–10 years
Licensing: Series 7, 24, and 57 preferred (or ability to obtain within a defined timeframe)
About Cantor Fitzgerald
Cantor Fitzgerald is a leading global financial services firm recognized for its excellence in capital markets, institutional brokerage, and investment banking. Our Miami office supports a diverse range of regulated businesses under SEC/FINRA and CFTC/NFA oversight, delivering best-in-class execution, market insight, and client service across equities, options, futures, and swaps. We foster a culture rooted in compliance, integrity, and disciplined risk management.
Position Overview
The VP, Senior Compliance Officer will serve as the on-site Compliance lead for Cantor’s Miami office, supporting Cash Equity, Equity Derivatives, and related Swap and Futures activities. This individual will provide hands-on regulatory guidance, oversee daily compliance functions, and work closely with front office leadership to ensure all activities adhere to FINRA, SEC, NFA, and CFTC regulations and firm policies.
The ideal candidate will possess deep product knowledge in equities and derivatives, a strong command of trading and supervisory rules, and the ability to operate effectively in a fast-paced, multi-product environment.
Key Responsibilities
- Serve as the primary compliance advisor for Miami-based equities, options, swaps, and futures desks, including both agency and sales trading functions.
- Provide interpretive guidance on product rules, trade practices, and operational controls; ensure alignment with firm policy and regulatory expectations.
- Oversee compliance with applicable FINRA, SEC, NFA, and CFTC regulations, including Reg SHO, Rule 15a-6, Rule 5320, Reg BI, AML/KYC, OFAC, and recordkeeping requirements.
- Partner with front office and supervisory teams to design, implement, and maintain Written Supervisory Procedures (WSPs), desk procedures, and supervisory control frameworks.
- Support and lead branch inspections, internal audits, and regulatory examinations, including responses to inquiries and remediation follow-up.
- Collaborate cross-functionally with Operations, Finance, Technology, and Legal to ensure effective control environments and operational compliance.
- Contribute to trade surveillance oversight, issue escalation, and thematic review of communications, order handling, and client interactions.
- Maintain a culture of ethical conduct, professional accountability, and proactive compliance awareness across the business.
Qualifications
- 5–10 years of relevant compliance or supervisory experience in a FINRA-regulated broker-dealer and/or NFA-registered introducing broker, with a strong emphasis on equities and derivatives trading.
- Robust knowledge of equity markets, trading workflows, and associated regulatory frameworks.
- Proven ability to analyze complex issues, conduct root cause analysis, and implement pragmatic solutions.
- Strong communication and interpersonal skills, capable of effectively advising senior management and trading personnel.
- Demonstrated experience in compliance program design and implementation.
- Bachelor’s degree required; advanced degree or compliance certification (e.g., CRCM, CAMS) preferred.
Licensing and Registrations
- FINRA Series 7, 24, and 57 strongly preferred (or ability to obtain promptly).
- NFA registration and any product-specific designations as applicable.
Work Environment
- Miami-based role with an in-office expectation