Job Title: Compliance Analyst- US Control Room
Location: In office New York, NY
Firm Overview:
Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for institutional and corporate customers operating in the global financial and commercial real estate markets.
Since 1945, we have successfully built a well-capitalized business across multiple business lines, with numerous market-leading financial services and commercial real estate businesses.
We have been at the forefront of financial and technological innovation in our industries while developing new markets and providing superior service to thousands of customers globally.
At Cantor, our employees are our greatest asset.
We look for individuals who are driven, intellectually engaged, team oriented and have a real desire to make an impact.
Responsibilities:
The US Control Room performs a vital function to the organization by supporting multiple business lines and establishing and maintaining a best in class Compliance program for the firms central US-registered Broker-Dealer, Cantor Fitzgerald & Co.
This job will involve learning the fundamentals associated with Equity Research and Investment Banking with opportunity for growth in the US Control Room.
The Control Room Analyst will be primarily responsible for:
Maintaining the firms Watch list
Maintaining the firms Restricted list
Performing surveillance for firm trading
Performing surveillance for customer trading
Performing surveillance for employee trading
Overseeing the process around research rating changes, initiations, and terminations
Managing disclosures and disclaimers for Equity Research
Managing Account distribution for Debt Research
Facilitating Capital Markets-related regulatory reporting
Assisting in the implementation of policies and procedures
Assisting in the development and implementation of business-specific Compliance Training programs
Qualifications:
Highly Motivated
Diligent and detail-oriented
Eager to learn
Resourceful and able to learn independently
Desired Skill sets Include:
Good working knowledge of:
Microsoft Outlook
Microsoft Excel
Microsoft PowerPoint
Microsoft Word
Skill and Knowledge Development Opportunities exist in the following areas:
Equity Capital Markets
Debt Capital Markets
Corporate Finance
SEC Filings
Overall understanding of Equity Research, Debt Research, Institutional Sales and Trading
Educational Qualifications:
Bachelors Degree required
0 to 3 years of experience working in financial services or other professional field
Will be expected to take and pass FINRA Securities Industry Essentials exam within 6 months
Salary: $60,000 - $75,000
The expected base salary for this position ranges from $60,000 to $75,000.
The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held.
In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.
).