Assistant Vice President – Equities Compliance

Assistant Vice President – Equities ComplianceCantor 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.QualificationsApproximately 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.