Senior Risk Management Specialist

21 hours ago


New York, New York, United States Cantor Fitzgerald Securities Full time
Job Title: Senior Risk Management Specialist

The role of the Senior Risk Management Specialist is to perform 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. The successful candidate will have prior experience in Internal Audit, Controls Testing team or experience assessing or testing the design and operating effectiveness of Supervision-related controls.

Responsibilities:
  • Perform risk assessments and develop test scripts to identify potential control gaps.
  • Collaborate with Compliance Advisory and Central Compliance to support the development of an annual, risk-based Testing Plan.
  • Draft written findings that clearly communicate the risk and impact of control gaps and negotiate risk remediation plans with stakeholders.


Educational Qualifications: Bachelor's Degree required. Industry experience preferred.

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