VP, Senior Compliance Officer

Cantor Fitzgerald • Miami, FL

9d • Onsite

About The Position

We are seeking a seasoned compliance professional to join Cantor Fitzgerald as the VP, Senior Compliance Officer in our Miami office. In this role, you will serve as the on-site Compliance lead, providing regulatory guidance and oversight to ensure all activities align with FINRA, SEC, NFA, and CFTC regulations and firm policies. Your deep product knowledge, strong command of trading rules, and ability to navigate a fast-paced, multi-product environment will be key to your success.

Requirements

• 5-10 years of relevant compliance or supervisory experience in a FINRA-regulated broker-dealer and/or NFA-registered introducing broker, with a focus 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 practical solutions.
• Strong communication and interpersonal skills, with the ability to advise senior management and trading personnel effectively.
• Experience in compliance program design and implementation.
• Bachelor's degree is required
• FINRA Series 7, 24, and 57 are strongly preferred (or the ability to obtain promptly).
• NFA registration and any product-specific designations as applicable.
• Miami-based role with an in-office expectation, subject to firm policy.

Nice To Haves

• advanced degree or compliance certifications (e.g., CRCM, CAMS) are preferred.

Responsibilities

• Serve as the primary compliance advisor for Miami-based desks, including equities, options, swaps, and futures, covering agency and sales trading functions.
• Provide interpretive guidance on product rules, trade practices, and operational controls, ensuring alignment with firm policy and regulatory expectations.
• Oversee compliance with applicable 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 control frameworks.
• Support and lead branch inspections, internal audits, and regulatory examinations, managing responses and remediation.
• Collaborate with cross-functional teams to ensure effective control environments and operational compliance.
• Contribute to trade surveillance, issue escalation, and thematic reviews of communications, order handling, and client interactions.
• Foster a culture of ethical conduct, professional accountability, and proactive compliance awareness across the business.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees