AVP – Surveillance and Compliance Advisory – Regulatory Control Group

Cantor Fitzgerald; New York (NY); Hybrid; USD 120,000 - 180,000; Full time

Job summary

A leading global financial services firm is seeking an AVP for Surveillance and Compliance Advisory to join their Regulatory Control Group in New York. The role covers managing surveillance programs, advising on compliance issues, and ensuring adherence to regulatory standards. Ideal candidates will possess strong analytical skills and 2-3 years of relevant experience in fixed income markets, with opportunities for career advancement within a dynamic and innovative company structure.

Qualifications

• 2-3 years’ experience in fixed income surveillance and advisory.
• Understanding of fixed income market structure and sales trading.
• SIE, Series 7 and Series 24 required.

Responsibilities

• Help manage the fixed income surveillance program.
• Assist the trading desk with real time questions.
• Conduct electronic communications reviews.

Skills

Fixed Income Surveillance

Interpersonal Skills

Communication Skills

Analytical Skills

Education

Bachelor's Degree

Tools

Bloomberg TOMS

Job description

AVP – Surveillance and Compliance Advisory – Regulatory Control Group

AVP – Surveillance and Compliance Advisory – Regulatory Control Group

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Job Title: AVP – Surveillance and Compliance Advisory – Regulatory Control Group

Location: New York, NY

Firm Overview:

Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm’s financial acumen and technology prowess, Cantor’s portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed.

Responsibilities:

• Help manage the fixed income surveillance program (mark-ups, trade reconstruction, wash sales, best ex, etc.)
• Assist the trading desk with real time questions
• Review historical activity to help regulatory responses
• Conduct electronic communications reviews on behalf of supervisors
• Evaluate industry enforcement actions and regulatory changes relevant to Cantor
• Ensure written supervisory procedures and supervisory structure are accurate

Qualifications:

• 2-3 years’ experience with a focus on fixed income surveillance and advisory
• Understanding of fixed income market structure, sales and trading best practices, and TRACE reporting
• Familiarity with order management systems such as Bloomberg TOMS and surveillance tools
• Strong interpersonal, verbal and written communication skills
• Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines
• Fast learner with a proactive and team mindset
• Ability to work professionally and confidentially
• SIE, Series 7 and Series 24 required for role but not a pre-requisite

Educational Qualifications:

• Bachelor's Degree required

Hybrid Working - We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review.

The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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