Control Room Compliance Analyst

Compensation

: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time

Industry

: Legal



Cantor Fitzgerald - Control Room Compliance Analyst

This Compliance Analyst will be involved in learning the fundamentals associated with Equity Research, Debt Research, and Investment Banking with opportunity for growth in the US Control Room. The Control Room Analyst will be primarily responsible for:

Maintaining the firm's Watch list
Maintaining the firm's Restricted list
Performing surveillance for firm trading
Performing surveillance for customer trading
Performing surveillance for employee trading
Overseeing the process around research rating changes, initiations, and terminations
Managing disclosures and disclaimers for Equity Research
Managing Account distribution for Debt Research
Facilitating Capital Markets-related regulatory reporting
Assisting in the implementation of policies and procedures
Assisting in the development and implementation of business-specific Compliance Training programs

Cantor Fitzgerald & Co. (the \"Company\") is an Equal Employment Opportunity (EEO) employer. This means that the Company provides equal opportunity in all aspects of the employer-employee relationship, including recruiting, hiring, promotion, conditions and privileges of employment, training, compensation, benefits, transfers, discipline, and termination of employment, and seeks to prevent any prohibited discrimination or harassment based upon any classification or status protected by applicable law (which can include race, color, gender, age, sexual orientation, gender identification, religion, national origin or ancestry, citizenship, veteran status, marital status, physical or mental disability, pregnancy, genetic information and other factors protected by law).


Associated topics: attorney corporate, business, compliance department, compliance office, counsel, court, courtroom, internal, llp, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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