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Cantor Fitzgerald · 1 day ago

AVP, Regulatory Inquiries Compliance Associate

Jacksonville, FL

Full-time

Onsite

Senior Level

Cantor Fitzgerald & Co. is seeking an Assistant Vice President (AVP), Regulatory Inquiries Compliance Associate to join our Compliance team. This individual will play a key role in managing the Firm’s responses to regulatory inquiries, ensuring submissions are accurate, complete, and timely.

Commercial Real EstateFinancial ServicesFinTechManagement ConsultingRisk Management

No H1B

Hiring Manager

Denise Vigliotti Smith

Responsibilities

Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries

Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference

Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data

Assist with additional regulatory, compliance-related matters, and special projects as assigned

Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA

Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready

Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations

Identify and appropriately escalate issues encountered during inquiry review or analysis

Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading

Qualification

Securities products knowledgeRegulatory inquiry experienceRegulatory body interactionAnalytical skillsOrganizational skillsWritten communication skillsProject managementResearch skillsRegulationsBachelor’s degreeAdvanced degreeJDCollaboration skillsTime management