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Cantor Fitzgerald · 1 day ago

Assistant Vice President – Equities Compliance

New York, NY

Full-time

Onsite

Mid Level

3+ years exp

Cantor Fitzgerald is seeking an Assistant Vice President, Equities Compliance to provide regulatory guidance and compliance oversight to its Equities businesses. This role involves serving as a compliance advisor, supporting compliance frameworks, and monitoring regulatory developments while collaborating with various teams within the firm.

Commercial Real EstateFinancial ServicesFinTechManagement ConsultingRisk Management

Hiring Manager

Denise Vigliotti Smith

Responsibilities

Serve as a compliance advisor to Equities business units, providing guidance on U.S. securities regulations, firm policies, and industry best practices

Support the implementation and maintenance of compliance frameworks aligned with SEC, FINRA, and other regulatory requirements

Partner with business, legal, risk, and operations teams to provide compliance input on new products, initiatives, and process changes

Monitor and assess regulatory developments impacting equities businesses and assist with updating policies and procedures as needed

Support regulatory examinations, inquiries, and audits, including preparation of responses and coordination with internal stakeholders

Assist in the enhancement and execution of surveillance, monitoring, and testing programs to identify and mitigate compliance risks

Participate in risk assessments, issue tracking, and remediation efforts to address control gaps and regulatory findings

Contribute to the development and delivery of compliance training to promote awareness and a strong compliance culture

Collaborate across Compliance and the broader firm to ensure alignment with Cantor Fitzgerald’s business objectives

Qualification

U.S. securities lawsFINRASEC rulesSeries 7Regulatory interactionsAnalytical skillsCompliance frameworksWritten communicationVerbal communicationProblem-solving skillsDetail-orientedCollaborative mindset