Equities Compliance Advisory

Cantor Fitzgerald•New York, NY

20h

About The Position

The Senior Line 2 Compliance role is a leadership opportunity within Cantor Fitzgerald's globally recognized financial services firm. You will be responsible for guiding the Equities businesses on regulatory obligations, firm policies, and industry best practices, ensuring adherence to U.S. securities laws and FINRA/SEC regulations. This role offers a collaborative and innovative work environment, competitive benefits, and career growth.

Requirements

Minimum 5-10 years of experience in compliance, legal, or regulatory roles within the equities sector.
Deep understanding of U.S. securities laws, FINRA, and SEC rules, particularly those related to equities trading and Market Access.
Proven track record of engaging with regulatory bodies, handling inquiries, and leading responses to examinations.
Strong analytical and problem-solving skills to assess complex regulatory issues and provide practical business solutions.
Excellent communication skills to influence senior stakeholders and convey complex compliance concepts clearly.
Bachelor's degree is required
Series 7 and 24 licenses or the ability to obtain them within a reasonable timeframe.
A collaborative and entrepreneurial mindset, aligned with Cantor Fitzgerald's work culture.
A commitment to diversity and inclusion, reflecting Cantor Fitzgerald's values as an equal opportunity employer.

Nice To Haves

advanced degree (JD, MBA, or equivalent) is preferred.

Responsibilities

Serve as a trusted compliance advisor to Equities businesses, offering guidance on regulatory matters, firm policies, and industry practices.
Lead the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements.
Partner with business leaders, legal, risk, and operations teams to provide compliance expertise for new products and initiatives.
Proactively monitor and assess regulatory developments, driving necessary policy changes to stay compliant.
Support regulatory interactions, including exams, inquiries, and audits conducted by SEC, FINRA, and other bodies.
Enhance surveillance, monitoring, and testing programs for equities to identify and mitigate compliance risks effectively.
Develop and deliver tailored training programs to foster a strong compliance culture within the business.
Conduct comprehensive risk assessments and ensure timely remediation of compliance issues and policy gaps.
Collaborate with internal stakeholders to align compliance initiatives with broader firm objectives and ensure seamless execution.