Cantor Fitzgerald: Regulatory Control Group, Analyst
AVP - Regulatory Control Group The Firm is seeking a Regulatory Control Group Analyst to monitor sales and trading activities and provide real-time support to front office personnel in a fast-paced, high-pressure environment. The Analyst will be conducting oversight of the Firm's sales and trading business with a focus on either Equities or Fixed Income products. Specific Functions
• Manage compliance with applicable sales and trading regulations and monitor adequacy of supervisory controls.Create, modify and review surveillance reports related to front office activities
• Conduct delegated supervisory tasks and follow up as necessary with line-of-business supervisors and Compliance.
• Consult with supervisors and management to improve current supervisory processes.
• Work closely with other supporting functions to ensure written policies and procedures are up-to-date.
• 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
• 2-4 years experience in a compliance, supervisory, surveillance or other regulatory capacity within the financial services industry
• Strong interpersonal, verbal and written communication skills
• Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines in a fast paced environment.
• Fast learner with a proactive and team first mindset
• Willingness to pass required regulatory exams (7, 24)
• Ability to work professionally and confidentially