Cantor Fitzgerald
AVP, Regulatory Inquiries Compliance Associate
Cantor Fitzgerald, Jacksonville, Florida, United States, 32290
AVP, Regulatory Inquiries Compliance Associate
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Overview Cantor Fitzgerald & Co. is seeking an
Assistant Vice President (AVP), Regulatory Inquiries Compliance Associate
to join our Compliance team. This individual will play a key role in managing the Firm’s responses to regulatory inquiries, ensuring submissions are accurate, complete, and timely. The AVP will work closely with internal stakeholders and serve as a primary point of contact for regulators on inquiry-related matters.
Job Description
Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries.
Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference.
Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data.
Assist with additional regulatory, compliance-related matters, and special projects as assigned.
Responsibilities
Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA.
Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready.
Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations.
Identify and appropriately escalating issues encountered during inquiry review or analysis.
Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.
Qualifications
In-depth knowledge of securities products, especially listed and OTC equities.
Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
Ability to manage and interpret communications between regulators and internal business units.
Strong organizational, analytical, research, and written communication skills.
Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
Ability to work both independently and collaboratively in a fast-paced environment.
Strong understanding of the securities industry regulatory framework.
Familiarity with FINRA and SEC rules and regulations.
Bachelor’s degree required; advanced degree or JD is a plus.
There is no relocation assistance available
Visa sponsorship is not available for this position
Seniority Level Associate
Employment Type Full-time
Job Function Analyst
Referrals increase your chances of interviewing at Cantor Fitzgerald by 2x
Benefits Medical insurance
Vision insurance
401(k)
Paid maternity leave
Paid paternity leave
Disability insurance
Tuition assistance
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Jacksonville, FL .
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Get AI-powered advice on this job and more exclusive features.
Direct message the job poster from Cantor Fitzgerald
Overview Cantor Fitzgerald & Co. is seeking an
Assistant Vice President (AVP), Regulatory Inquiries Compliance Associate
to join our Compliance team. This individual will play a key role in managing the Firm’s responses to regulatory inquiries, ensuring submissions are accurate, complete, and timely. The AVP will work closely with internal stakeholders and serve as a primary point of contact for regulators on inquiry-related matters.
Job Description
Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries.
Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference.
Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data.
Assist with additional regulatory, compliance-related matters, and special projects as assigned.
Responsibilities
Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA.
Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready.
Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations.
Identify and appropriately escalating issues encountered during inquiry review or analysis.
Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.
Qualifications
In-depth knowledge of securities products, especially listed and OTC equities.
Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
Ability to manage and interpret communications between regulators and internal business units.
Strong organizational, analytical, research, and written communication skills.
Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
Ability to work both independently and collaboratively in a fast-paced environment.
Strong understanding of the securities industry regulatory framework.
Familiarity with FINRA and SEC rules and regulations.
Bachelor’s degree required; advanced degree or JD is a plus.
There is no relocation assistance available
Visa sponsorship is not available for this position
Seniority Level Associate
Employment Type Full-time
Job Function Analyst
Referrals increase your chances of interviewing at Cantor Fitzgerald by 2x
Benefits Medical insurance
Vision insurance
401(k)
Paid maternity leave
Paid paternity leave
Disability insurance
Tuition assistance
Get notified about new Vice President Compliance jobs in
Jacksonville, FL .
#J-18808-Ljbffr