Qureos Mentor

Cantor Fitzgerald

Cantor Fitzgerald is a leading global financial services firm, established in 1945. It serves clients from over 30 offices worldwide and is recognized for its expertise in various sectors, including equity and fixed income capital markets, investment banking, and commercial real estate finance. The firm pioneered computer-based bond trading and has built a robust distribution network, becoming a premier dealer of government securities. Cantor Fitzgerald is committed to client-centered innovation and advanced technologies to help clients achieve their financial goals.

As an integral member of the Client Data Management team at Cantor Fitzgerald, you will be responsible for conducting thorough quality assurance reviews of Customer Due Diligence (CDD) and Know Your Customer (KYC) processes. Your primary focus will be on maintaining the accuracy, completeness, and compliance of client due diligence records, adhering to internal policies and regulatory requirements. This role is crucial in identifying and mitigating financial crime risks, and you will collaborate closely with Compliance, AML, and Operations teams to enhance overall process quality.

Associate, Client Due Diligence Quality Checker

<div>
 
 
 Job Title:
 
 
 
 Equity Research Associate &ndash; Power Technology and Infrastructure
 
 
 
 Location:
 
 
 
 New York, NY
 
 
 
 Firm Overview:
 
 
 
 Cantor Fitzgerald, with over 16,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and its global distribution platform.
 
 
 
 
 
 Capitalizing on the firm&rsquo;s financial acumen and technology prowess, Cantor&rsquo;s portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations worldwide.
 
 
 
 
 
 As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and strong relationship building. Our structure allows us to respond quickly to client needs, develop solutions to complex challenges, and attract talented individuals driven to succeed in a collaborative, entrepreneurial environment.
 
 
 
 
 
 
 Responsibilities:
 
 
 
 Cantor Fitzgerald is seeking a highly motivated Equity Research Associate to join its Industrials and Infrastructure research team in New York City. This role offers the opportunity to work closely with a senior analyst covering leading companies in the sector and to contribute meaningfully to research used by top institutional investors. The position provides strong exposure to company management teams, institutional clients, and internal partners in a fast-paced, intellectually demanding environment.
 
 
 
 Key responsibilities include:
 
 
 <ul>
 <li>
 Assisting in the preparation of comprehensive equity research reports on companies within the Industrials and Infrastructure sectors
 </li>
 <li>
 Building, maintaining, and updating detailed financial models, forecasts, and valuation analyses
 </li>
 <li>
 Conducting primary and secondary research, including channel checks, expert interviews, and broader industry analysis
 </li>
 <li>
 Participating in meetings and calls with company management teams and industry experts
 </li>
 <li>
 Collaborating with sales and trading professionals to communicate research insights to institutional clients
 </li>
 <li>
 Attending investor meetings and industry conferences to enhance sector knowledge and support relationship-building
 </li>
 </ul>
 
 
 
 
 
 Qualifications:
 
 
 
 
 Educational Qualifications:
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree required; concentration in Finance, Accounting, Economics, or a related field preferred
 </li>
 </ul>
 
 
 Minimum Requirements:
 
 
 <ul>
 <li>
 Strong academic background with demonstrated analytical and quantitative capabilities
 </li>
 <li>
 Experience or demonstrated ability in financial modeling, valuation techniques, and investment research
 </li>
 <li>
 High attention to detail with strong written and verbal communication skills
 </li>
 <li>
 Intellectual curiosity, persistence, and a proactive, self-starting mindset
 </li>
 <li>
 Ability to manage multiple projects and deadlines in a fast-paced environment
 </li>
 <li>
 Strong team player who thrives in a collaborative and learning-oriented culture
 </li>
 </ul>
 
 
 Preferred Qualifications:
 
 
 <ul>
 <li>
 Prior full-time experience in equity research, investment banking, or a related financial role
 </li>
 <li>
 CFA designation or active candidacy is a plus
 </li>
 </ul>
 
 
 
 
 
 Salary:
 
 
 
 $120,000 &ndash; $140,000
 
 
 The actual base salary will be determined on an individualized basis considering a wide range of factors, including but not limited to relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package (including health, vision, and dental insurance, paid time off, and a 401(k) retirement plan), this position may be eligible for additional compensation, including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).
 
 
 
 
 
 
 We do not accept unsolicited resumes, candidate referrals, or outreach from third-party recruiters or staffing agencies. Any such submissions will be considered property of Cantor Fitzgerald and will not be eligible for any placement fee. Recruiters must have a signed agreement with our Talent Acquisition team and be invited to submit candidates for a specific role. Direct contact with hiring managers or employees is strictly prohibited.
 
 
</div>

Equity Research Associate – Power Technology and Infrastructure

<div>
 
 
 Assistant Vice President &ndash; Equities Compliance
 
 
 
 
 
 
 Cantor Fitzgerald is seeking an
 
 Assistant Vice President, Equities Compliance
 
 to provide regulatory guidance and compliance oversight to its Equities businesses. This Line 2 role is ideal for a compliance professional with up to five years of experience who is ready to take on increased responsibility, partner closely with the business, and grow within a globally recognized financial services firm.
 
 
 
 
 
 The role offers meaningful exposure to equities trading activities, regulatory engagement, and firm-wide initiatives, within a collaborative and fast-paced environment.
 
 
 
 
 
 As an AVP in Equities Compliance, you will:
 
 <ul>
 <li>
 Serve as a
 
 compliance advisor
 
 to Equities business units, providing guidance on U.S. securities regulations, firm policies, and industry best practices.
 </li>
 <li>
 Support the
 
 implementation and maintenance of compliance frameworks
 
 aligned with SEC, FINRA, and other regulatory requirements.
 </li>
 <li>
 Partner with business, legal, risk, and operations teams to provide compliance input on
 
 new products, initiatives, and process changes
 
 .
 </li>
 <li>
 Monitor and assess
 
 regulatory developments
 
 impacting equities businesses and assist with updating policies and procedures as needed.
 </li>
 <li>
 Support
 
 regulatory examinations, inquiries, and audits
 
 , including preparation of responses and coordination with internal stakeholders.
 </li>
 <li>
 Assist in the enhancement and execution of
 
 surveillance, monitoring, and testing programs
 
 to identify and mitigate compliance risks.
 </li>
 <li>
 Participate in
 
 risk assessments
 
 , issue tracking, and remediation efforts to address control gaps and regulatory findings.
 </li>
 <li>
 Contribute to the development and delivery of
 
 compliance training
 
 to promote awareness and a strong compliance culture.
 </li>
 <li>
 Collaborate across Compliance and the broader firm to ensure alignment with Cantor Fitzgerald&rsquo;s business objectives.
 </li>
 </ul>
 
 
 
 
 Qualifications
 
 <ul>
 <li>
 Approximately
 
 3&ndash;5 years of experience
 
 in compliance, legal, or regulatory roles within the
 
 equities or capital markets
 
 space.
 </li>
 <li>
 Solid understanding of
 
 U.S. securities laws
 
 , FINRA and SEC rules, particularly those related to equities trading and market access.
 </li>
 <li>
 Experience supporting
 
 regulatory interactions
 
 , including exams or inquiries, preferred.
 </li>
 <li>
 Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical guidance.
 </li>
 <li>
 Excellent written and verbal communication skills, with the confidence to engage business stakeholders.
 </li>
 <li>
 Bachelor&rsquo;s degree required;
 
 JD, MBA, or equivalent
 
 is a plus.
 </li>
 <li>
 
 Series 7
 
 required;
 
 Series 24
 
 or ability to obtain within a reasonable timeframe preferred.
 </li>
 <li>
 Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment.
 </li>
 <li>
 Collaborative mindset aligned with Cantor Fitzgerald&rsquo;s entrepreneurial and performance-driven culture.
 </li>
 </ul>
 
 
 
 
 Why Cantor Fitzgerald?
 
 
 At Cantor Fitzgerald, you&rsquo;ll gain hands-on exposure to front-line compliance advisory work within a globally active equities platform. This AVP role offers the opportunity to deepen regulatory expertise, build strong business partnerships, and advance your compliance career in a firm that values initiative, accountability, and professional growth.
 
 
 
</div>

Assistant Vice President – Equities Compliance

Join Cantor Fitzgerald and explore 3   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

Cantor Fitzgerald

About Company

Associate, Client Due Diligence Quality Checker

Equity Research Associate – Power Technology and Infrastructure

Assistant Vice President – Equities Compliance