Role

The Compliance department at BGC Financial, L.P. under the shared services with Cantor Fitzgerald & Co., prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm s culture of compliance. As an independent control function and part of the firm s second line of defense, Compliance assesses the firm s regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm s responses to regulatory examinations, audits and inquiries. As a member of the US Compliance group you ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, consulting, sales, and trading. We look for those who possess sound judgment, curiosity, and agility to adapt to a rapidly evolving regulatory landscape.

Responsibilities

Cover Equities division personnel and provide advice on how to conduct the firm s business in a manner that complies with the vast array of rules, regulations and regulatory expectations

Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices.

Create and implement compliance training programs for equities professionals

Handle Trade Surveillance and Compliance Reviews as part of the firm s second line of defense

Assist with regulatory examinations, audits and inquiries

Analyze new or amended laws, rules and regulations in order to formulate practical solutions to issues that impact BGC

Coordinate with the business, legal, technology and other groups across the firm on new initiatives

Qualifications

Bachelor s degree in an area such as finance, economics or business

2-5 years Compliance, Legal, Regulatory or Financial Services industry experience

Excellent communication skills (oral and written)

Knowledge of general equities and options trading rules and regulations (SEC, FINRA, NYSE, NASDAQ, CBOE, ISE, etc.) preferred

Experience with Fidessa, Valdi, Trafix, Dash, or any equities and options trading systems is a plus.

Ability to handle multiple tasks simultaneously and work under pressure