Cantor Fitzgerald · 5 hours ago
Analyst - Compliance Testing Officer
Jacksonville, FL
Full-time
Hybrid
Mid Level
$70K/yr - $90K/yr
3+ years expCantor Fitzgerald is a leading global financial services organization committed to integrity and regulatory compliance. The Testing Compliance Officer will support the Compliance Testing program by evaluating controls to meet regulatory requirements and engaging with various stakeholders to ensure effective compliance practices.
Commercial Real EstateFinancial ServicesFinTechManagement ConsultingRisk Management
No H1B
Hiring Manager
Denise Vigliotti Smith
Responsibilities
Research and analysis of financial services and securities laws, rules, and regulations that are the source of the Firm’s regulatory and compliance risk exposure
Assist the development of test scripts and thematic financial regulation-related test programs to accurately identify risk and result in fact-based assessments of the controls and process outcomes specific to the risk
Perform compliance reviews that include assessing the design and operating effectiveness of supervisory controls or testing to determine whether legal, regulatory, and internal policy outcomes are met by the Firm’s Broker-Dealer legal entities and affiliates
Engage with front-office, middle-office, and back-office stakeholders to check and challenge facts or fact patterns and actively progress the testing lifecycle at a pace that ensures timely delivery of reports to our stakeholders
Negotiate remediation plans that effectively reduce the Firm’s risk exposure to financial and securities-related laws, rules, and regulations
Draft written findings and report on test results that clearly communicate the facts, risk and impact of control gaps to stakeholders including and negotiate risk remediation plans with stakeholders
Establish and maintain effective communication channels with stakeholders in the Front Office, Operations, and other Control Functions
Collaborate with Compliance Advisory and Central Compliance to support the development of an annual, risk-based Testing Plan
Contribute to the reporting for required Annual Compliance filings including, but not limited to, the firm’s BDs, FCMs, SEFs and other regulated entities
Support the continuous enhancement of the Testing Program by identifying and implementing improvements
Assist the Management Team with other projects, as necessary
Qualification
Required
Internal Audit, a Controls Testing team, or relevant management consulting projects that involved the assessment of design and operating effectiveness controls or process outcomes related to financial and securities-related laws, rules, and regulations
Working knowledge or understanding of the products and services offered by a Broker-Dealer including the processes (e.g., trade life cycle), people, and functions that deliver or support the relevant products and services
Thoroughly gathers information from various sources including walkthroughs, interviews, internal policies and procedures, or securities laws, rules, and/or regulations (e.g., CFTC, SEC, FINRA, and NFA rules)
Comparing, matching, and/or analyzing various data sources with Microsoft Excel to identify relationships, root causes, summarize historical data, or report on risk to the firm
Evaluates sources and documentation objectively, showing attention to detail, and with good business judgment, to form clear, informed opinions and make sound decisions based on a review of the firm's processes and/or controls
Articulates information with clarity, confidence, and conciseness in presentations and meetings with stakeholders, including comfort in checking and challenging the fact patterns, risks, and impacts that result from the evaluation or analysis of the firm's processes and/or controls
Drafts written findings, reports and communications that are both clear and concise and based on facts that were ascertained during the review and/or testing
Independently accomplishes assigned tasks and activities with the appropriate levels of guidance and at a reasonable pace of work
Series 7, 24, 99 helpful
Over 3 years of work experience in the financial services industry
Bachelor's Degree required
Benefits
A competitive benefits package
Discretionary bonuses
Other short- and long-term incentives (e.g., deferred cash, equity, etc.)
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
2026-01-25
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