Compliance Testing Officer
2 days ago
At Cantor Fitzgerald, a leading global financial services firm, we are seeking a Compliance Testing Officer to join our team. This role is integral to our compliance testing program, as it involves evaluating controls and processes to meet regulatory and internal policy requirements. The successful candidate will collaborate with various stakeholders to ensure compliance with financial and securities laws. This position offers a unique opportunity to contribute to the firm's commitment to innovation and integrity.
Responsibilities
- Research and analyze financial services laws and regulations to identify the firm's risk exposure.
- Develop and execute test scripts for financial regulations, assessing risks and control effectiveness.
- Conduct compliance reviews of supervisory controls across broker-dealer entities and affiliates.
- Engage with front, middle, and back-office teams to validate facts and drive timely testing completion.
- Draft and present clear findings, communicating control gaps and associated risks to stakeholders.
- Collaborate with Compliance Advisory and Central Compliance to develop the annual Compliance Testing Plan.
- Prepare annual compliance reports and regulatory filings for various regulated entities.
- Identify and implement program enhancements to continuously improve compliance testing.
- Support management with ad-hoc projects and initiatives as needed.
- Demonstrated experience in Internal Audit, Compliance Testing, or Controls Testing functions is preferred.
- Working knowledge of broker-dealer products, services, and operational processes is essential.
- Strong understanding of CFTC, SEC, FINRA, and NFA rules and regulations.
- Proficiency in data analysis using Microsoft Excel, identifying trends and summarizing findings.
- Excellent verbal and written communication skills, with the ability to present and influence stakeholders.
- Self-motivated, able to work independently, manage priorities, and meet deadlines.
- FINRA Series 7, 24, or 99 licenses are preferred but not mandatory.
- A minimum of 3 years of relevant industry experience is required.
- Bachelor's Degree is mandatory, with a concentration in Finance, Accounting, or a related field preferred.
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