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Director, Surveillance and Advisory Compliance

Company: BGC Partners
Location: New York
Posted on: May 16, 2022

Job Description:

Surveillance and Advisory Director
Cantor Fitzgerald's Regulatory Control Group ("RCG") is seeking a Surveillance and Advisory Director to help monitor sales and trading activities and provide real-time support to equities personnel. RCG is a delegate supervisory function that is part of the front office. The role will be focused on the firm wide equities business, including Cash, International, Derivatives, Converts, Event Driven, Electronic and OTC trading desks.
Specific Responsibilities

  • Lead the equities surveillance program by creating, modifying, and reviewing reports and alerts
  • Assist the trading desk with real time regulatory questions (i.e. Reg SHO, trade reporting, low-priced securities)
  • Conduct delegated supervisory tasks and follow up as necessary with supervisors and compliance
  • Proactively evaluate industry enforcement actions and regulatory changes
  • Consult with management to improve current supervisory processes
  • Ensure written supervisory procedures are up-to-date
  • Manage compliance with applicable sales and trading regulations and monitor adequacy of supervisory controls
  • Assist in researching and responding to regulatory inquiries and exams
  • Mentor junior members of the team and other control and support groups
  • Conduct electronic communications reviews

    Desired Skills and Experience

    • 8+ years' experience with a focus on equities surveillance and advisory
    • Strong understanding of equity market structure and best practices regarding equity sales and trading activities, familiarity with order management systems such as Fidessa and automated surveillance systems such as Smarts
    • Strong interpersonal, verbal and written communication skills
    • Ability to effectively analyze, organize and prioritize workflow according to internal and external deadlines
    • Fast learner with a proactive and team first mindset
    • Series 7, 55, 24
    • Ability to work professionally and confidentially

Keywords: BGC Partners, New York , Director, Surveillance and Advisory Compliance, Executive , New York, New York

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