Cantor Fitzgerald

Compliance

• Support and collaborate with the Head of Regulatory Inquiries in conducting due diligence and managing all phases of the Firm’s responses to regulatory inquiries.
• Prepare and submit accurate, comprehensive, and timely responses—including supporting documentation—to securities regulators, while maintaining organized internal case files for future reference.
• Engage directly with regulators to provide clarification, discuss submissions, negotiate timelines, and address questions related to exhibits or underlying data.
• Assist with additional regulatory, compliance-related matters, and special projects as assigned.
• Analyze complex trading data and operational records; review and compile responsive materials; and draft written responses for inquiries, predominantly from FINRA.
• Track, monitor, and update the status of all regulatory inquiries, ensuring case files are complete, well-organized, and audit-ready.
• Ensure response accuracy, completeness, and timely submission in accordance with regulatory expectations.
• Identify and appropriately escalate issues encountered during inquiry review or analysis.
• Coordinate fact gathering and response preparation with internal teams, including Legal, Compliance, Operations, Regulatory Control Group, Information Technology, and Trading.

AVP, Regulatory Inquiries Compliance Associate