Junior Audit Associate - Compliance

Cantor Fitzgerald Securities; London; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading company in investment banking and financial technology is seeking a Junior Audit Associate to join their global Internal Audit team in London. The role involves executing audits across various businesses and ensuring compliance with policies. The ideal candidate will have relevant experience and strong analytical skills, contributing to the improvement of audit processes and compliance programs.

Qualifications

• 3+ years of relevant experience required.
• Understanding of compliance programs and regulatory requirements.

Responsibilities

• Perform risk-based audit work and prepare audit work papers.
• Draft and present management action plans and audit reports.
• Build and maintain relationships with audit clients.

Skills

Negotiation

Decision-Making

Communication

Education

Degree or Professional Certifications

Tools

MS Office

Analytical Tools

Job description

Job Description

Job Title: Junior Audit Associate - Compliance

Location: London

Position Summary:

The Associate is expected to execute audits for Cantor Fitzgerald Group of Companies. As part of the global Internal Audit team covering the Group, the individual may be involved in engagements across various businesses, including Cantor Fitzgerald, BGC Group Inc, and Newmark Group Inc. These companies operate in investment banking, financial technology, real estate, and related sectors.

Key Responsibilities:

• Perform risk-based audit work, including walkthroughs, flowcharts, documentation review, and substantive testing.
• Assess control strengths and weaknesses and ensure compliance with policies and procedures.
• Prepare clear audit work papers following Internal Audit Policies.
• Ensure timely delivery of audit work.
• Draft and present management action plans and audit reports for review.
• Follow up with business and compliance leaders to resolve control issues.
• Build and maintain relationships with audit clients and key stakeholders.
• Provide guidance on emerging trends and issues to senior leadership to foster improvements.

Key Requirements:

• 3+ years of relevant experience, with a degree or professional certifications such as CAMS, ACSS, CIA, or CFE. Relevant licenses like SIE, Series 3, 7, 24 are advantageous.
• Deep understanding of compliance programs (KYC/EDD, AML & Sanctions, Supervision) and regulatory requirements.
• Experience in areas like Investment Banking, Fixed Income, Real Estate, Commodities, SOX Testing, Asset Management, Market Data, Swaps, or SEF Reporting is a plus.
• Ability to handle confidential information discretely and with integrity.
• Proficiency in MS Office, analytical tools, and internet applications.
• Strong negotiation and decision-making skills, with the ability to influence and collaborate effectively.
• Execution-driven mindset and effective communication skills in both oral and written forms.