Job Title: Regulatory Operations Analyst (TEMP TO PERM)
Location: New York, NY, In Person
Firm Overview:
Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for institutional and corporate customers operating in the global financial and commercial real estate markets. Since 1945, we have successfully built a well-capitalized business across multiple business lines, with numerous market-leading financial services and commercial real estate businesses. We have been at the forefront of financial and technological innovation in our industries while developing new markets and providing superior service to thousands of customers globally. At Cantor, our employees are our greatest asset. We look for individuals who are driven, intellectually engaged, team oriented and have a real desire to make an impact.
Responsibilities:
The Securities Investigations and Regulatory Examinations Group ( SIRE ) at Cantor Fitzgerald & Co. ( CF&Co. ) is responsible for handling and submitting accurate, complete and timely responses to regulatory inquiries of CF&Co. and the Firm s affiliates. The Firm is seeking a Regulatory Operations/Compliance Analyst or Associate to respond to Electronic Blue Sheet ( EBS ) requests and conduct analysis on trading activity contained in the reports.
- Research, analyze and respond to regulatory inquiries, specifically but not limited to EBS requests, from the SEC and FINRA.
- Analyze complex trading data and review regulatory response files, interact with Compliance, Operations, Regulatory Control, Business Management and Information Technology personnel, and any other relevant employees as necessary in fact gathering and in preparation of the Firm s responses.
- Work with Compliance, Business and IT personnel regarding real time trading situations presented by regulators relating to regulatory and trade reporting issues, including confirmation that the Firm is complying with any of the rules at issue.
- Timely escalation of noted issues
Specific Functions:
- Work under the direction of one of SIRE s Regulatory Counsel, perform administrative due diligence and submit accurate, complete and timely responses to regulatory inquiries, specifically EBS requests.
- Ensure Firm compliance with applicable trade and transaction reporting regulations.
- Create, modify and review EBS responses related to front office activities.
- Conduct delegated supervisory tasks and follow up as necessary with line-of-business supervisors and Compliance.
- Escalate issues appropriately and consult with supervisors and management to improve current transaction and report review processes.
- Speak with regulators on a daily basis regarding the Firm s submissions and explain and/or clarify responses
- Assist in other regulatory and/or compliance matters and special projects when needed
Qualifications:
- 1-3 years experience in a compliance, operations, surveillance or other regulatory capacity within the financial services industry.
- General understanding and familiarity of FINRA Rules and/or the Securities Act of 1933 or the Exchange Act.
- Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines in a fast paced environment.
- Excellent project and time management skills and computer proficiency are essential.
- Strong organizational, research, analytical, written and communication skills are required to excel in this position.
- Must be able to work independently, proactively and in a team environment as needed.
- Ability to understand/manage communications between the Firm s businesses and regulators.
- Willingness to pass required regulatory exams (7, 24).
- Ability to work professionally and confidentially.
Educational Qualifications:
- Bachelor s degree in an area such as finance, economics or business
Salary: $80,000 - $110,000
The expected base salary for this position ranges from $80,000 to $100,000. 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.).