Cantor Fitzgerald's Regulatory Control Group ("RCG") is seeking a Surveillance and Advisory Analyst/Associate to help monitor sales and trading activities and provide real-time support to sales and trading personnel. RCG is a delegate supervisory function that is part of the front office. The Analyst/Associate will be mentored and gain exposure to Equities, Fixed Income, Prime Brokerage, and Investment Banking.
Create, modify and review surveillance reports
Conduct delegated supervisory tasks and follow up as necessary with line-of-business supervisors and compliance
Consult with management to improve current supervisory processes.
Ensure written policies and procedures are up-to-date
Manage compliance with applicable sales and trading regulations and monitor adequacy of supervisory controls
Assist in researching and responding to regulatory inquiries and exams.
Conduct electronic communications reviews
Desired Skills and Experience
Bachelor's degree in finance, economics or business
2-4 years' experience in a regulatory capacity within the financial services industry, a must
Familiarity with order management systems such as Bloomberg TOMS and Fidessa
Strong interpersonal, verbal, and written communication skills
Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines
Fast learner with a proactive and team first mindset
Willingness to pass required regulatory exams (7, 24)