Surveillance and Advisory Analyst/Associate at BGC Partners in New York, New York

Job Description:

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.

Job Responsibilities

• 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)
• Ability to work professionally and confidentially