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AVP, Regulatory Inquiries Compliance Associate
Cantor FitzgeraldAVP managing responses to regulatory inquiries at Cantor Fitzgerald. Ensuring accurate, complete, and timely submissions while collaborating with regulatory bodies and internal stakeholders.
About the role
Key responsibilities & impact- 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.
Requirements
What you’ll need- In-depth knowledge of securities products, especially listed and OTC equities.
- Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
- Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
- Ability to manage and interpret communications between regulators and internal business units.
- Strong organizational, analytical, research, and written communication skills.
- Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
- Ability to work both independently and collaboratively in a fast-paced environment.
- Strong understanding of the securities industry regulatory framework.
- Familiarity with FINRA and SEC rules and regulations.
- Bachelor’s degree required; advanced degree or JD is a plus.
Benefits
Comp & perks- 🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account Cantor Fitzgerald Website LinkedIn All Job Openings 10,000+ employees 💸 Finance 💳 Fintech Finance
- Fintech
- Investment Banking Cantor Fitzgerald is an iconic global financial institution known for its world-class talent and specialized sector expertise. Founded with an entrepreneurial mindset, Cantor Fitzgerald provides innovative products and personalized solutions across a suite of services including investment banking, equities, fixed income, prime services, and asset management. The firm is revered for its exceptional client service and its history of fostering financial innovation to help clients achieve their financial goals. AVP, Regulatory Inquiries Compliance Associate 🔥 23 minutes ago 🏢🏡 Jacksonville – Hybrid ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance 🦅 H1B Visa Sponsor Apply Now Find Hiring Managers Customize resume for this job Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
- 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. 🎯 Requirements
- In-depth knowledge of securities products, especially listed and OTC equities.
- Prior experience in Compliance or regulatory inquiry–focused roles within the securities industry.
- Experience interfacing with regulatory bodies such as FINRA, SEC, NYSE, or CBOE preferred.
- Ability to manage and interpret communications between regulators and internal business units.
- Strong organizational, analytical, research, and written communication skills.
- Excellent time and project management capabilities; proficiency in relevant computer systems and tools.
- Ability to work both independently and collaboratively in a fast-paced environment.
- Strong understanding of the securities industry regulatory framework.
- Familiarity with FINRA and SEC rules and regulations.
- Bachelor’s degree required; advanced degree or JD is a plus. Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Quality and Compliance Manager 🕒 January 25 U.S. Department of Labor 10,000+ employees 🏛️ Government 📋 Compliance Website LinkedIn All Job Openings Quality and Compliance Manager at Andromeda Systems managing the Quality Management System and compliance programs. Conducting audits and maintaining documentation while ensuring regulatory adherence in Jacksonville, FL. 🏢🏡 Jacksonville – Hybrid 💵 $60k - $70k / year ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance View More Compliance Jobs 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Privacy policy Terms of service Job board SEO course AI Apply Copilot OpenClaw job finder Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs
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Hard Skills & Tools
regulatory inquiriesdue diligencetrading data analysiswritten communicationproject managementsecurities productscomplianceregulatory frameworkFINRA rulesSEC regulations
Soft Skills
organizational skillsanalytical skillsresearch skillstime managementcollaborationindependencecommunication skills
Certifications
Bachelor's degreeadvanced degreeJD