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Regulatory Control Group Analyst, AVP/VP

New York, NY, USA | Cantor Fitzgerald

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Regulatory Affairs
  • Experience:
    3-5 years
    5-7 years
Job Description:
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Cantor Fitzgerald’s Regulatory Control Group (“RCG”) is seeking a Surveillance Analyst (AVP/VP) to help monitor sales and trading activities and provide real-time advisory to equities sales and trading personnel.RCG is a delegate supervisory function that nreports into the Global Chief Operating Officer. The role will be focused on equities and gain exposure to Fixed Income, Prime Brokerage and Investment Banking.


Specific Functions



  • 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

  • Help create and maintain Written Supervisory Procedures to ensure compliance with FINRA Rule 3110

  • 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 an area such as finance, economics or business

  • 3-6 years’ experience in the financial services industry, preferably in a regulatory capacity at a broker dealer

  • Familiarity with order management systems such as Fidessa and automated surveillance systems such as Smarts

  • Strong interpersonal, verbal and written communication skills

  • Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines

  • Willingness to pass required regulatory exams (7, 57, 24)

  • Ability to work professionally and confidentially


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