Compliance Analyst
Cantor Fitzgerald Securities

Job Info

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JOB DESCRIPTION

Job Title: Compliance Analyst- US Control Room

Location: In office New York, NY

Firm Overview:
Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for institutional and corporate customers operating in the global financial and commercial real estate markets. Since 1945, we have successfully built a well-capitalized business across multiple business lines, with numerous market-leading financial services and commercial real estate businesses. We have been at the forefront of financial and technological innovation in our industries while developing new markets and providing superior service to thousands of customers globally. At Cantor, our employees are our greatest asset. We look for individuals who are driven, intellectually engaged, team oriented and have a real desire to make an impact.

Responsibilities:
The US Control Room performs a vital function to the organization by supporting multiple business lines and establishing and maintaining a best in class Compliance program for the firm's central US-registered Broker-Dealer, Cantor Fitzgerald & Co.
This job will involve learning the fundamentals associated with Equity Research and Investment Banking with opportunity for growth in the US Control Room.

The Control Room Analyst will be primarily responsible for:
• Maintaining the firm's Watch list
• Maintaining the firm's Restricted list
• Performing surveillance for firm trading
• Performing surveillance for customer trading
• Performing surveillance for employee trading
• Overseeing the process around research rating changes, initiations, and terminations
• Managing disclosures and disclaimers for Equity Research
• Managing Account distribution for Debt Research
• Facilitating Capital Markets-related regulatory reporting
• Assisting in the implementation of policies and procedures
• Assisting in the development and implementation of business-specific Compliance Training programs

Qualifications:
• Highly Motivated
• Diligent and detail-oriented
• Eager to learn
• Resourceful and able to learn independently

Desired Skill sets Include:
• Good working knowledge of:
• Microsoft Outlook
• Microsoft Excel
• Microsoft PowerPoint
• Microsoft Word

Skill and Knowledge Development Opportunities exist in the following areas:
• Equity Capital Markets
• Debt Capital Markets
• Corporate Finance
• SEC Filings
• Overall understanding of Equity Research, Debt Research, Institutional Sales and Trading

Educational Qualifications:
• Bachelor's Degree required
• 0 to 3 years of experience working in financial services or other professional field
• Will be expected to take and pass FINRA Securities Industry Essentials exam within 6 months

Salary: $60,000 - $75,000

The expected base salary for this position ranges from $60,000 to $75,000. The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).

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