Financial Regulation Specialist
2 weeks ago
**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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