Vice President, Control Room Compliance Officer

Cantor Fitzgerald•Jacksonville, FL

16h

About The Position

As a Vice President in Control Room Compliance, you will be a key advisor and guardian of our firm's integrity. You'll navigate complex regulations, support business growth, and maintain our strong reputation. This role offers a unique opportunity to make a significant impact and contribute to our success in a fast-paced, dynamic environment.

Requirements

Bachelor's degree is required, with a preference for advanced degrees (J.D., M.B.A., or equivalent).
Minimum 5-8 years of Compliance experience in investment banking, broker-dealer, or financial services, with Control Room, Research Compliance, or information barrier expertise.
Active FINRA Series 7 and Series 24 licenses or the ability to obtain them within a defined timeframe.
Strong knowledge of equity research regulations, information barriers, and Investment Banking compliance.
Excellent communication skills to build credibility and influence senior stakeholders.
Analytical and problem-solving abilities, with a proactive and detail-oriented approach.
Ability to work independently and as part of a team.
In-depth knowledge of FINRA Rules 2241/2242, Regulation M, Regulation AC, and related frameworks.

Nice To Haves

Experience with global research distribution models and cross-border regulations is preferred.
Prior experience supporting regulatory exams or interactions with FINRA/SEC is an asset.

Responsibilities

Provide daily advisory support to Global Equity Research, focusing on research independence, conflicts of interest, and MNPI controls.
Guide business partners on evolving regulatory obligations, assessing compliance for new business activities.
Review and evaluate business initiatives, ensuring alignment with regulations and firm policies.
Develop and enhance policies for Research, information barriers, and Investment Banking interactions.
Design and deliver targeted training programs to reinforce compliance and regulatory awareness.
Lead Compliance Risk Assessments, identifying emerging risks, and present recommendations.
Manage compliance issues, escalating and resolving them through formal channels with thorough documentation.
Contribute to surveillance and monitoring activities for Global Research, leveraging data and technology.
Partner with business functions for regulatory examinations, audits, and investigations.
Independently manage projects, collaborate cross-regionally, and build strong relationships with senior stakeholders.