Fixed Income Compliance Officer
Cantor Fitzgerald Securities

Job Info

---

JOB DESCRIPTION

Job Title: Fixed Income Compliance Officer

Location: New York, NY

Firm Overview:

Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm's financial acumen and technology prowess, Cantor's portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed.

Responsibilities:

• Provide real-time advice and guidance to trading and sales force on regulatory implications of daily activity.
• Draft/update Firm policies and procedures; perform testing of policies and procedures.
• Regularly update written supervisory procedures.
• Draft memoranda on regulatory matters to be distributed internally.
• Conduct compliance training for new and existing regulations and firm policies.
• Monitor TRACE and MSRB reporting in real-time and circulate performance metrics.
• Conduct electronic communications surveillance and trade reconstructions.
• Draft responses to fixed income-related regulatory inquiries and internal audits.
• Perform on-site branch office inspections and ad hoc investigations.

Qualifications:

• 2 to 7 years of experience working in fixed income compliance function of a FINRA registered broker dealer.
• Experience with broker-dealer trading and back-office systems, including Bloomberg Trade Order Management System (TOMS).
• Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income products, sales and trading.
• Experience with fixed income trade surveillance.
• Working knowledge of major fixed income regulatory topics, including but not limited to trade reporting, markups and markdowns, institutional suitability, Municipal Advisor Rule and communications with the public.
• Familiarity with regulatory initiatives, including best execution, fair pricing, 15c3-5, front running, and debt research.
• Experience with structured products, MBS, private debt offerings a plus.

Educational Qualifications:

• Bachelor's Degree required
• FINRA Series 7 Required (Series 24 and 53 a plus)
• Law degree a plus

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 Cantor Fitzgerald & its affiliates across the working week, means three days office based and two days remote.

Salary: $100,000 - $110,000

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.).

---