Financial Regulation Specialist

2 weeks ago


New York, New York, United States Cantor Fitzgerald Securities Full time

**About Us:**

Cantor Fitzgerald Securities is a leading global brokerage and financial technology company. We specialize in the brokerage of a broad range of products, including fixed income, foreign exchange, equities, energy, and commodities.

**Job Description:**

We are seeking a Financial Regulation Specialist to join our team. As a key member of our Financial Regulation Compliance department, you will be responsible for developing and implementing test scripts and thematic financial regulation-related test programs.

Key Responsibilities:

  • 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
  • Support continuous enhancement of the Testing Program by identifying and implementing improvements

Requirements:

  • Prior experience in Internal Audit, Controls Testing, or assessing Supervision-related controls
  • Familiarity with CFTC, SEC, FINRA, and NFA Rules

Compensation:

$70,000 - $90,000 per year



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