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

Posted in General Business 17 days ago.

Type: Full-Time





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