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Regulatory Operations Associate (Temp to Perm)
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Full-time
- Job Title: Regulatory Operations Associate (TEMP TO PERM)Location: New York, NY, In Person Firm Overview:Cantor Fitzgerald is a diversified company primarily specializing in financial and real estate services for institutional and corporate customers operating in the global financial and commercial real estate markets.
- Since , we have successfully built a well-capitalized business across multiple business lines, with numerous market-leading financial services and commercial real estate businesses.
- The Firm is seeking a Regulatory Operations/Compliance Analyst or Associate to respond to Electronic Blue Sheet (“EBS”) requests and conduct analysis on trading activity contained in the reports.
- Research, analyze and respond to regulatory inquiries, specifically but not limited to EBS requests, from the SEC and FINRA. Analyze complex trading data and review regulatory response files, interact with Compliance, Operations, Regulatory Control, Business Management and Information Technology personnel, 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.
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