Cantor Fitzgerald · 1 day ago
Equities Compliance Advisory
NYC Metro Area
Full-time
Onsite
Senior Level
5+ years expCantor Fitzgerald is a globally recognized financial services firm seeking an experienced Equities Compliance Advisor to provide strategic oversight and ensure regulatory compliance for its Equities businesses. The role involves guiding the Equities businesses on regulatory obligations, firm policies, and industry best practices, while ensuring adherence to U.S. securities laws and FINRA/SEC regulations.
Commercial Real EstateFinancial ServicesFinTechManagement ConsultingRisk Management
Hiring Manager
Denise Vigliotti Smith
Responsibilities
Serve as a trusted compliance advisor to Equities businesses, offering guidance on regulatory matters, firm policies, and industry practices
Lead the development and implementation of robust compliance frameworks to meet SEC, FINRA, and other regulatory requirements
Partner with business leaders, legal, risk, and operations teams to provide compliance expertise for new products and initiatives
Proactively monitor and assess regulatory developments, driving necessary policy changes to stay compliant
Support regulatory interactions, including exams, inquiries, and audits conducted by SEC, FINRA, and other bodies
Enhance surveillance, monitoring, and testing programs for equities to identify and mitigate compliance risks effectively
Develop and deliver tailored training programs to foster a strong compliance culture within the business
Conduct comprehensive risk assessments and ensure timely remediation of compliance issues and policy gaps
Collaborate with internal stakeholders to align compliance initiatives with broader firm objectives and ensure seamless execution
Qualification
Required
Minimum 5-10 years of experience in compliance, legal, or regulatory roles within the equities sector
Deep understanding of U.S. securities laws, FINRA, and SEC rules, particularly those related to equities trading and Market Access
Proven track record of engaging with regulatory bodies, handling inquiries, and leading responses to examinations
Strong analytical and problem-solving skills to assess complex regulatory issues and provide practical business solutions
Excellent communication skills to influence senior stakeholders and convey complex compliance concepts clearly
Bachelor's degree is required; advanced degree (JD, MBA, or equivalent) is preferred
Series 7 and 24 licenses or the ability to obtain them within a reasonable timeframe
A collaborative and entrepreneurial mindset, aligned with Cantor Fitzgerald's work culture
A commitment to diversity and inclusion, reflecting Cantor Fitzgerald's values as an equal opportunity employer
Preferred
Advanced degree (JD, MBA, or equivalent) is preferred
Benefits
Competitive benefits
Company
Cantor Fitzgerald
Cantor Fitzgerald is a global financial services firm that specializes in equities, investment banking, and real estate.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Howard Lutnick
Chairman and Chief Executive Officer
Danny Salinas
Senior Managing Director, Global Chief Financial Officer
Recent News
2026-01-09
Company data provided by crunchbase