Cantor Fitzgerald
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VP, Senior Compliance Officer Location:
Miami, FL Employment Type:
Full-Time, In Office Experience:
5–10 years Licensing:
Series 7, 24, and 57 preferred (or ability to obtain within a defined timeframe) Cantor Fitzgerald is a leading global financial services firm recognized for its excellence in capital markets, institutional brokerage, and investment banking. Our Miami office supports a diverse range of regulated businesses under
SEC/FINRA
and
CFTC/NFA
oversight, delivering best-in-class
execution, market insight, and client service
across
equities, options, futures, and swaps . We foster a culture rooted in
compliance, integrity, and disciplined risk management . Position Overview
The
VP,
Senior Compliance Officer
will serve as the
on-site Compliance lead
for Cantor’s Miami office, supporting
Cash Equity, Equity Derivatives, and related Swap and Futures activities . This individual will provide
hands‑on regulatory guidance , oversee daily compliance functions, and work closely with front office leadership to ensure all activities adhere to
FINRA, SEC, NFA, and CFTC
regulations and firm policies. The ideal candidate will possess
deep product knowledge
in equities and derivatives, a
strong command of trading and supervisory rules , and the ability to operate effectively in a fast‑paced, multi‑product environment. Key Responsibilities
Serve as the
primary compliance advisor
for Miami-based
equities, options, swaps, and futures desks , including both
agency and sales trading
functions. Provide interpretive guidance on
product rules, trade practices, and operational controls ; ensure alignment with firm policy and regulatory expectations. Oversee compliance with applicable
FINRA, SEC, NFA, and CFTC
regulations, including
Reg SHO, Rule 15a-6, Rule 5320, Reg BI, AML/KYC, OFAC , and recordkeeping requirements. Partner with
front office and supervisory teams
to design, implement, and maintain
Written Supervisory Procedures (WSPs) , desk procedures, and
supervisory control frameworks . Support and lead
branch inspections, internal audits, and regulatory examinations , including responses to inquiries and remediation follow‑up. Collaborate cross‑functionally with
Operations, Finance, Technology, and Legal
to ensure effective control environments and operational compliance. Contribute to
trade surveillance oversight , issue escalation, and thematic review of communications, order handling, and client interactions. Maintain a culture of ethical conduct, professional accountability, and proactive compliance awareness across the business. Qualifications
5–10 years
of relevant compliance or supervisory experience in a
FINRA‑regulated broker‑dealer
and/or
NFA‑registered introducing broker , with a strong emphasis on
equities and derivatives trading . Robust knowledge of
equity markets, trading workflows, and associated regulatory frameworks . Proven ability to
analyze complex issues , conduct root cause analysis, and implement pragmatic solutions. Strong
communication and interpersonal skills , capable of effectively advising
senior management and trading personnel . Demonstrated experience in
compliance program design and implementation . Bachelor’s degree required;
advanced degree or compliance certification (e.g., CRCM, CAMS)
preferred. Licensing and Registrations
FINRA Series 7, 24, and 57
strongly preferred (or ability to obtain promptly). NFA registration
and any product‑specific designations as applicable. Miami‑based role with an in‑office expectation. Additional Information
Seniority level: Director Employment type: Full‑time Job function: Other Industries: Investment Banking, Banking, and Financial Services Benefits
Medical insurance Vision insurance 401(k) Paid maternity leave Paid paternity leave Disability insurance Tuition assistance
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VP, Senior Compliance Officer Location:
Miami, FL Employment Type:
Full-Time, In Office Experience:
5–10 years Licensing:
Series 7, 24, and 57 preferred (or ability to obtain within a defined timeframe) Cantor Fitzgerald is a leading global financial services firm recognized for its excellence in capital markets, institutional brokerage, and investment banking. Our Miami office supports a diverse range of regulated businesses under
SEC/FINRA
and
CFTC/NFA
oversight, delivering best-in-class
execution, market insight, and client service
across
equities, options, futures, and swaps . We foster a culture rooted in
compliance, integrity, and disciplined risk management . Position Overview
The
VP,
Senior Compliance Officer
will serve as the
on-site Compliance lead
for Cantor’s Miami office, supporting
Cash Equity, Equity Derivatives, and related Swap and Futures activities . This individual will provide
hands‑on regulatory guidance , oversee daily compliance functions, and work closely with front office leadership to ensure all activities adhere to
FINRA, SEC, NFA, and CFTC
regulations and firm policies. The ideal candidate will possess
deep product knowledge
in equities and derivatives, a
strong command of trading and supervisory rules , and the ability to operate effectively in a fast‑paced, multi‑product environment. Key Responsibilities
Serve as the
primary compliance advisor
for Miami-based
equities, options, swaps, and futures desks , including both
agency and sales trading
functions. Provide interpretive guidance on
product rules, trade practices, and operational controls ; ensure alignment with firm policy and regulatory expectations. Oversee compliance with applicable
FINRA, SEC, NFA, and CFTC
regulations, including
Reg SHO, Rule 15a-6, Rule 5320, Reg BI, AML/KYC, OFAC , and recordkeeping requirements. Partner with
front office and supervisory teams
to design, implement, and maintain
Written Supervisory Procedures (WSPs) , desk procedures, and
supervisory control frameworks . Support and lead
branch inspections, internal audits, and regulatory examinations , including responses to inquiries and remediation follow‑up. Collaborate cross‑functionally with
Operations, Finance, Technology, and Legal
to ensure effective control environments and operational compliance. Contribute to
trade surveillance oversight , issue escalation, and thematic review of communications, order handling, and client interactions. Maintain a culture of ethical conduct, professional accountability, and proactive compliance awareness across the business. Qualifications
5–10 years
of relevant compliance or supervisory experience in a
FINRA‑regulated broker‑dealer
and/or
NFA‑registered introducing broker , with a strong emphasis on
equities and derivatives trading . Robust knowledge of
equity markets, trading workflows, and associated regulatory frameworks . Proven ability to
analyze complex issues , conduct root cause analysis, and implement pragmatic solutions. Strong
communication and interpersonal skills , capable of effectively advising
senior management and trading personnel . Demonstrated experience in
compliance program design and implementation . Bachelor’s degree required;
advanced degree or compliance certification (e.g., CRCM, CAMS)
preferred. Licensing and Registrations
FINRA Series 7, 24, and 57
strongly preferred (or ability to obtain promptly). NFA registration
and any product‑specific designations as applicable. Miami‑based role with an in‑office expectation. Additional Information
Seniority level: Director Employment type: Full‑time Job function: Other Industries: Investment Banking, Banking, and Financial Services Benefits
Medical insurance Vision insurance 401(k) Paid maternity leave Paid paternity leave Disability insurance Tuition assistance
#J-18808-Ljbffr