Junior Audit Associate - Compliance | London, UK

Cantor Fitzgerald Securities; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established industry player is seeking a Junior Audit Associate to join their dynamic team in London. In this role, you will execute audits across various businesses, ensuring compliance with policies and procedures while building relationships with key stakeholders. This position offers a unique opportunity to contribute to the internal audit function, where your analytical skills and compliance knowledge will be pivotal in driving improvements. If you are passionate about audit and compliance and thrive in a fast-paced environment, this is the perfect opportunity for you to advance your career.

Qualifications

• 3+ years of relevant experience in audit or compliance.
• Knowledge of compliance programs and regulatory requirements.

Responsibilities

• Perform risk-based audit work and assess compliance with policies.
• Draft and present audit reports and management action plans.

Skills

Audit Skills

Compliance Knowledge

Analytical Skills

Communication Skills

Negotiation Skills

Education

Undergraduate Degree

Relevant Certifications (CAMS, ACSS, CIA, CFE)

Tools

MS Office

Analytical Tools

Job description

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Precise geolocation data, and identification through device scanning.

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Job Details

Job Title: Junior Audit Associate - Compliance

Location: London

Company: Cantor Fitzgerald Securities

Posted: 14 days ago

Type: Permanent

Salary: Competitive

Job Description

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, BGC Group Inc, and Newmark Group Inc.

Key Responsibilities:

• Perform risk-based audit work, including detailed walkthroughs, 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 for review.
• Follow-up with business and compliance leaders to ensure control issues are resolved.
• Build and maintain relationships with audit clients and key stakeholders.
• Provide guidance on emerging trends and issues to senior leadership to improve processes.

Key Requirements:

• 3+ years of relevant experience, with an undergraduate degree or relevant certifications.
• Relevant certifications such as CAMS, ACSS, CIA, CFE, or licenses like SIE, Series 3, 7, 24 are assets.
• Deep knowledge of compliance programs (KYC/EDD, AML & Sanctions) 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 with discretion and integrity.
• Proficiency with MS Office and analytical tools.
• Strong negotiation, decision-making, and collaborative skills.
• Effective communication skills and ability to build relationships in a fast-changing environment.

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