AVP, Regulatory Inquiries Compliance Associate
Cantor Fitzgerald Securities
Job Description 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.
- 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 escalate 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.
- 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.
Vacancy posted 4 days ago
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