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Job Title: Junior Audit Associate - Compliance

Location: London

Company: Cantor Fitzgerald Securities

Posted: 14 days ago

Type: Permanent

Salary: Competitive

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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