Assistant Vice President – Equities Compliance
Cantor Fitzgerald is seeking an Assistant Vice President, Equities Compliance to provide regulatory guidance and compliance oversight to its Equities businesses. This Line 2 role is ideal for a compliance professional with up to five years of experience who is ready to take on increased responsibility, partner closely with the business, and grow within a globally recognized financial services firm.
The role offers meaningful exposure to equities trading activities, regulatory engagement, and firm-wide initiatives, within a collaborative and fast-paced environment.
As an AVP in Equities Compliance, you will:
- Serve as a compliance advisor to Equities business units, providing guidance on U.S. securities regulations, firm policies, and industry best practices.
- Support the implementation and maintenance of compliance frameworks aligned with SEC, FINRA, and other regulatory requirements.
- Partner with business, legal, risk, and operations teams to provide compliance input on new products, initiatives, and process changes.
- Monitor and assess regulatory developments impacting equities businesses and assist with updating policies and procedures as needed.
- Support regulatory examinations, inquiries, and audits, including preparation of responses and coordination with internal stakeholders.
- Assist in the enhancement and execution of surveillance, monitoring, and testing programs to identify and mitigate compliance risks.
- Participate in risk assessments, issue tracking, and remediation efforts to address control gaps and regulatory findings.
- Contribute to the development and delivery of compliance training to promote awareness and a strong compliance culture.
- Collaborate across Compliance and the broader firm to ensure alignment with Cantor Fitzgerald’s business objectives.
Qualifications
- Approximately 3–5 years of experience in compliance, legal, or regulatory roles within the equities or capital markets space.
- Solid understanding of U.S. securities laws, FINRA and SEC rules, particularly those related to equities trading and market access.
- Experience supporting regulatory interactions, including exams or inquiries, preferred.
- Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical guidance.
- Excellent written and verbal communication skills, with the confidence to engage business stakeholders.
- Bachelor’s degree required; JD, MBA, or equivalent is a plus.
- Series 7 required; Series 24 or ability to obtain within a reasonable timeframe preferred.
- Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment.
- Collaborative mindset aligned with Cantor Fitzgerald’s entrepreneurial and performance-driven culture.
Why Cantor Fitzgerald?
At Cantor Fitzgerald, you’ll gain hands-on exposure to front-line compliance advisory work within a globally active equities platform. This AVP role offers the opportunity to deepen regulatory expertise, build strong business partnerships, and advance your compliance career in a firm that values initiative, accountability, and professional growth.
