Cantor Fitzgerald Securities
VP Regulatory Inquiries
Cantor Fitzgerald Securities, Iselin, New Jersey, us, 08830
Job Description
Job Title:
VP Regulatory Inquiries Compliance Manager
Location:
Iselin, NJ or 55 Water St, NYC
Firm Overview:
BGC Partners is a leading global brokerage and financial technology company. BGC specializes in the brokerage of a broad range of products, including fixed income (rates and credit), foreign exchange, equities, energy and commodities, shipping, insurance, and futures. BGC also provides a wide variety of services, including trade execution, brokerage, clearing, trade compression, post-trade, information, and other back-office services to a broad range of financial and non-financial institutions. Through brands including Fenics, BGC Trader, Capitalab, Lucera, and Fenics Market Data, BGC offers financial technology solutions, market data, and analytics related to numerous financial instruments and markets. BGC, BGC Trader, GFI, Fenics, Fenics Market Data, Capitalab, and Lucera are trademarks/service marks and/or registered trademarks/service marks of BGC Partners, Inc., and/or its affiliates.
Responsibilities:Work under the direction of the CCO(s) and the Firm's Legal Department to handle internal regulatory filings and perform administrative due diligence related to inquiries and examinations.Submit accurate, complete and timely responses (including relevant documentation) to the Firm's regulators and maintain internal archives for future reference.Speak with regulators on a daily basis regarding the Firm's submissions and explain and/or clarify responses, including information contained in exhibits.Manage and foster relationships with regulators by demonstrating the Firm's good faith, cooperative approach, and institutional credibility.Assist in other regulatory and/or compliance matters and special projects when needed.Research, analyze and respond to regulatory inquiries and/or sweep examinations, including third-party subpoenas, from the SEC, CFTC, FINRA, CBOE, Securities Exchanges, and State and Federal agencies relating to potential statutory and SRO/Exchange rule violations.Analyze complex trading data and prepare written responses and statements, interact with Legal, Compliance, Operations, Regulatory Control, Trading, Business Management and Information Technology personnel, inside and outside counsels, and any other relevant employees as necessary in fact gathering and in preparation of the Firm's responses.Work with Compliance, Business and IT personnel regarding "real time" trading situations presented by regulators relating to regulatory and trade reporting issues, including confirmation that the Firm is complying with any of the rules at issue.Qualifications:
Extensive Securities and Futures product knowledge5-10 years prior relevant experience in Compliance/Regulatory Inquiry-related roles is preferred.Experience working with Securities Industry Regulators (FINRA, BATS, SEC, CFTC, NFA, CME, ICE, etc.) is required.Ability to understand/manage communications between the Firm's businesses and regulators.Excellent project and time management skills and computer proficiency are essential.Strong organizational, research, analytical, written and communication skills are required to excel in this position.Must be able to work independently, proactively and in a team environment as needed.Understanding of the regulatory environment as it relates to the securities industry.Familiarity with FINRA, SEC, and CFTC Rules and Regulations.Educational Qualifications:
Bachelor's degree required, Advanced or Law degree preferred.
Hybrid Working -
We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review. Hybrid for BGC Partners across the working week, means three days office based and two days remote.
Salary:
$125,000 - $150,000
The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
Job Title:
VP Regulatory Inquiries Compliance Manager
Location:
Iselin, NJ or 55 Water St, NYC
Firm Overview:
BGC Partners is a leading global brokerage and financial technology company. BGC specializes in the brokerage of a broad range of products, including fixed income (rates and credit), foreign exchange, equities, energy and commodities, shipping, insurance, and futures. BGC also provides a wide variety of services, including trade execution, brokerage, clearing, trade compression, post-trade, information, and other back-office services to a broad range of financial and non-financial institutions. Through brands including Fenics, BGC Trader, Capitalab, Lucera, and Fenics Market Data, BGC offers financial technology solutions, market data, and analytics related to numerous financial instruments and markets. BGC, BGC Trader, GFI, Fenics, Fenics Market Data, Capitalab, and Lucera are trademarks/service marks and/or registered trademarks/service marks of BGC Partners, Inc., and/or its affiliates.
Responsibilities:Work under the direction of the CCO(s) and the Firm's Legal Department to handle internal regulatory filings and perform administrative due diligence related to inquiries and examinations.Submit accurate, complete and timely responses (including relevant documentation) to the Firm's regulators and maintain internal archives for future reference.Speak with regulators on a daily basis regarding the Firm's submissions and explain and/or clarify responses, including information contained in exhibits.Manage and foster relationships with regulators by demonstrating the Firm's good faith, cooperative approach, and institutional credibility.Assist in other regulatory and/or compliance matters and special projects when needed.Research, analyze and respond to regulatory inquiries and/or sweep examinations, including third-party subpoenas, from the SEC, CFTC, FINRA, CBOE, Securities Exchanges, and State and Federal agencies relating to potential statutory and SRO/Exchange rule violations.Analyze complex trading data and prepare written responses and statements, interact with Legal, Compliance, Operations, Regulatory Control, Trading, Business Management and Information Technology personnel, inside and outside counsels, and any other relevant employees as necessary in fact gathering and in preparation of the Firm's responses.Work with Compliance, Business and IT personnel regarding "real time" trading situations presented by regulators relating to regulatory and trade reporting issues, including confirmation that the Firm is complying with any of the rules at issue.Qualifications:
Extensive Securities and Futures product knowledge5-10 years prior relevant experience in Compliance/Regulatory Inquiry-related roles is preferred.Experience working with Securities Industry Regulators (FINRA, BATS, SEC, CFTC, NFA, CME, ICE, etc.) is required.Ability to understand/manage communications between the Firm's businesses and regulators.Excellent project and time management skills and computer proficiency are essential.Strong organizational, research, analytical, written and communication skills are required to excel in this position.Must be able to work independently, proactively and in a team environment as needed.Understanding of the regulatory environment as it relates to the securities industry.Familiarity with FINRA, SEC, and CFTC Rules and Regulations.Educational Qualifications:
Bachelor's degree required, Advanced or Law degree preferred.
Hybrid Working -
We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review. Hybrid for BGC Partners across the working week, means three days office based and two days remote.
Salary:
$125,000 - $150,000
The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).