Senior Compliance Advisory Officer | London, UK

Cantor Fitzgerald Securities; London; Hybrid; GBP 90,000 - 150,000; Full time

Job summary

Cantor Fitzgerald Securities seeks a Senior Compliance Advisory Officer to provide strategic compliance guidance across Investment Banking and Sales & Trading in London. This pivotal role involves regulatory risk assessment, compliance framework development, and interaction with key business initiatives, requiring 15+ years of experience in compliance practices.

Qualifications

• 15+ years of experience in Compliance Advisory roles.
• Expertise in Investment Banking and Sales & Trading.
• Deep knowledge of UK, EU, and global regulations.

Responsibilities

• Partner with teams on strategic growth projects.
• Deliver real-time advisory support to front-office teams.
• Develop and maintain compliance policies and procedures.

Skills

Regulatory risk assessment

Compliance framework development

Regulatory requirements communication

Strategic initiative support

Interpersonal skills

Job description

Senior Compliance Advisory Officer

Cantor Fitzgerald Securities London, United Kingdom

Cantor Fitzgerald Securities London, United Kingdom

Job Description

Job Opportunity: Senior Compliance Advisory Officer (Director / Executive Director)

Hybrid | Central London
Department: CFE Compliance
Reports to: Head of CFE Compliance

About Cantor Fitzgerald Europe (CFE)

Cantor Fitzgerald Europe (CFE) is a dynamic and fast-growing capital markets and financing business, spanning Investment Banking and Sales & Trading . As a crucial part of this high-energy environment, the CFE Compliance team enables growth through proactive, solutions-oriented regulatory support.

We're a collaborative, forward-thinking team looking for someone who thrives on challenge, embraces change, and is excited to shape the future of a rapidly scaling business.

The Role

As a Senior Compliance Advisory Officer , you will be a key partner to the business, providing expert compliance guidance across Investment Banking , Sales & Trading , and optionally, Portfolio and Asset Management . This role is pivotal in ensuring strong controls around market conduct, conflicts of interest, and the handling of material non-public information (MNPI). You'll support strategic initiatives including new product launches, market expansion, and regulatory change-embedding compliance into the heart of business innovation.

Key Responsibilities

• Partner with the Head of Compliance and wider teams on strategic growth projects, including new business lines, geographic expansion, and digital transformation.
• Deliver real-time advisory support to front-office teams across Investment Banking, Sales & Trading, and Research.
• Interpret and apply regulations (e.g., MAR, MiFID II, FCA Handbook, SEC rules) to key business activities such as deal structuring and trade execution.
• Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
• Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
• Lead regulatory risk assessments and collaborate with Legal, Risk, Finance, and business teams to ensure robust controls.
• Contribute to regulatory horizon scanning and strategic readiness planning.
• Deliver training on conduct risk, regulatory requirements, and compliance obligations.
• Present compliance MI and updates to senior leadership and governance committees.
• Interface with regulators, auditors, and internal assurance teams as needed.

What We're Looking For

• 15+ years of experience in Compliance Advisory roles, with expertise in Investment Banking and Sales & Trading (Asset/Portfolio Management experience a plus).
• Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
• Deep knowledge of UK, EU, and global regulations (e.g., MAR, MiFID II, DTR, SSR).
• Strong track record in supporting strategic business initiatives and regulatory change.
• Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.

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