Cantor Fitzgerald · 4 weeks ago
SVP, Compliance Testing Officer
10401 Deerwood Park Blvd, Jacksonville, FL, 32256, US
Full-time
Onsite
Mid Level
3+ years expCantor Fitzgerald, a leading global financial services firm, is seeking a Compliance Testing Officer to join their team. This role is integral to the compliance testing program, involving the evaluation of controls and processes to meet regulatory and internal policy requirements while collaborating with various stakeholders to ensure compliance with financial and securities laws.
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Responsibilities
Research and analyze financial services laws and regulations to identify the firm's risk exposure
Develop and execute test scripts for financial regulations, assessing risks and control effectiveness
Conduct compliance reviews of supervisory controls across broker-dealer entities and affiliates
Engage with front, middle, and back-office teams to validate facts and drive timely testing completion
Draft and present clear findings, communicating control gaps and associated risks to stakeholders
Collaborate with Compliance Advisory and Central Compliance to develop the annual Compliance Testing Plan
Prepare annual compliance reports and regulatory filings for various regulated entities
Identify and implement program enhancements to continuously improve compliance testing
Support management with ad-hoc projects and initiatives as needed
Qualification
Required
Working knowledge of broker-dealer products, services, and operational processes
Strong understanding of CFTC, SEC, FINRA, and NFA rules and regulations
Proficiency in data analysis using Microsoft Excel, identifying trends and summarizing findings
Excellent verbal and written communication skills, with the ability to present and influence stakeholders
Self-motivated, able to work independently, manage priorities, and meet deadlines
A minimum of 3 years of relevant industry experience
Bachelor's Degree is mandatory
Preferred
Demonstrated experience in Internal Audit, Compliance Testing, or Controls Testing functions
FINRA Series 7, 24, or 99 licenses
Bachelor's Degree with a concentration in Finance, Accounting, or a related field
Company
Cantor Fitzgerald
Cantor Fitzgerald is a global financial services firm that specializes in equities, investment banking, and real estate.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Howard Lutnick
Chairman and Chief Executive Officer
Danny Salinas
Senior Managing Director, Global Chief Financial Officer
Recent News
2026-01-09
Company data provided by crunchbase