Junior Audit Associate – Compliance

Cantor Fitzgerald; Greater London; On-site; GBP 35,000 - 55,000; Full time

Job summary

This innovative firm is seeking a Junior Audit Associate to join their global Internal Audit team. In this role, you will be responsible for executing audits across various business units, ensuring compliance with internal policies and regulatory requirements. You will perform risk-based audits, prepare comprehensive reports, and build strong relationships with stakeholders. The ideal candidate will have a solid background in audit and compliance, with excellent analytical and communication skills. Join a dynamic environment where your contributions will drive meaningful improvements and support the organization's commitment to integrity and excellence.

Qualifications

• 3+ years of relevant experience in audit or compliance roles.
• Strong understanding of compliance program requirements and regulatory requirements.

Responsibilities

• Execute risk-based audit work and assess control strengths.
• Prepare audit work papers and present management action plans.

Skills

Audit Skills

Compliance Knowledge

Analytical Skills

Negotiation Skills

Communication Skills

Education

Undergraduate Degree

Relevant Professional Certifications

Tools

MS Office

Analytical Tools

Job description

Direct message the job poster from Cantor Fitzgerald

Talent Acquisition Business Partner at Cantor Fitzgerald & BGC Group

Job Title: Junior Audit Associate – Compliance

Location: London

Position Summary:

The Associate is expected to execute audits on Cantor Fitzgerald Group of Companies, and as part of the global Internal Audit team covering the Group, the individual might be exposed to engagements involving any of the following businesses. Cantor Fitzgerald, a global investment bank that provides fixed income, equity capital markets, prime, asset management, advisory and investment banking products, services, and technology solutions.

Key Responsibilities:

• Perform risk-based audit work, including detailed walkthrough, flowcharts, documentation review, and substantive testing.
• Assess control strengths and weaknesses and determine compliance with policies and procedures.
• Prepare clear and concise audit work papers in accordance with Internal Audit Policies.
• Ensure audit works are delivered on time.
• Draft and present comprehensive management action plans and audit reports as final deliverables for review by Audit-In-Charge and/or Chief Auditor.
• Follow-up with accountable business and compliance leaders and their teams to ensure control issues are effectively resolved.
• Continuously build business relationships with audit clients.
• Establish and maintain relationships with key stakeholders within the company.
• Act as advisor by providing guidance on emerging trends and issues to the senior leadership team to bring about meaningful improvements.

Key Requirements:

• 3+ years of relevant experience, with undergraduate degree or relevant professional certifications, accounting designations, or equivalent education.
• Relevant certifications CAMS/ACSS/CIA/CFE certifications and/or SIE, Series 3, 7, 24 would be strong assets.
• Deep knowledge and understanding of compliance program requirements (KYC/EDD, AML & Sanctions, Supervision) as well as applicable regulatory requirements.
• Experience with all or some of the following would be a plus: Investment Banking, Fixed Income, Commercial Real Estate, Commodities Brokerage Operations, SOX Testing, Asset Management, Market Data Service Providers, Swaps/Swap Dealers, SEF Reporting.
• Able to process and handle confidential information with discretion while acting with the highest levels of integrity.
• Proficiency with MS Office, analytical tools, and Internet applications.
• A strong negotiator and decision maker who can influence business leaders and make practical choices.
• Someone who can work collaboratively, communicate effectively in both oral and written form, and build relationships across teams and functions in a fast-changing environment.

Seniority level

Associate

Employment type

Full-time

Job function

Accounting/Auditing