Risk Oversight Professional

2 days ago


New York, New York, United States Cantor Fitzgerald Securities Full time
Job Overview: We are seeking a highly skilled Risk Oversight Professional to join our team as a 3120 Testing and Compliance Analyst. In this role, you will be responsible for performing testing on the design and operating effectiveness of 3120 Supervisory Controls. This includes assessing whether legal, regulatory, and internal policy outcomes are met by the firm's Broker-Dealer legal entities and affiliates. You will work closely with Compliance Advisory and Central Compliance to support the development of an annual, risk-based Testing Plan.

Qualifications: Bachelor's Degree required. Prior experience in Internal Audit, Controls Testing team or experience assessing or testing the design and operating effectiveness of Supervision-related controls. Series 7, 24, 99 helpful. 1-3 years industry experience.

Educational Requirements: Must have a Bachelor's degree. Additional certifications such as Series 7, 24, and 99 are beneficial but not required. Salary: Estimated salary $85,000 based on location (New York City/New Jersey). ],

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