Vice President, Control Room Compliance Officer

Vice President, Control Room Compliance Officer

Location: Jacksonville, FL

In-Office

Firm Overview:

Cantor Fitzgerald L.P., with over 16,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. 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 for its global distribution platform. Capitalizing on the firm’s financial acumen and technology prowess, Cantor’s portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world.

As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed.

As a Vice President in Control Room Compliance, you will play a critical role in safeguarding Cantor Fitzgerald’s reputation and ensuring the integrity of our Global Equity Research and Investment Banking activities. You will serve as a senior advisor to Research, Investment Banking, Capital Markets, Legal, and other control functions, helping the firm navigate complex regulatory requirements while supporting responsible business growth. This role is ideal for a proactive, solutions-oriented compliance professional who thrives in a fast-paced environment and is adept at tackling nuanced regulatory challenges across multiple jurisdictions.

Key Responsibilities

Advisory & Regulatory Guidance

• Provide day-to-day advisory support to the Global Equity Research business, with a focus on research independence, conflicts of interest, material non-public information (MNPI) controls, and reputational risk.
• Advise business partners on new and evolving regulatory obligations, including those arising under FINRA, SEC, and applicable global research standards, and assess the compliance implications of proposed business activities.
• Review and evaluate new business initiatives, products, processes, and technology systems to ensure alignment with regulatory requirements and firm policies, providing written assessments where appropriate.

Policy Development & Training

• Develop, maintain, and enhance policies and procedures related to Research, information barriers, Investment Banking interactions, and personal trading and outside business activities.
• Design and deliver targeted training programs for Research, Investment Banking, and Capital Markets personnel to reinforce compliance expectations, highlight regulatory developments, and promote a strong culture of compliance.

Monitoring, Risk Assessment & Issue Management

• Lead or support the completion of Compliance Risk Assessments, including identifying emerging risks, and present findings and recommendations to senior management.
• Identify, escalate, and drive resolution of compliance issues through formal escalation channels, maintaining thorough documentation of findings and remedial actions.
• Contribute to the design, execution, and continuous improvement of surveillance and monitoring activities for the Global Research business, leveraging data and technology tools where available.

Regulatory & Audit Support

• Partner with business and control functions to gather information and prepare comprehensive responses for regulatory examinations, internal audits, compliance testing, and investigations.
• Coordinate cross-functional efforts to ensure consistent, accurate, and timely responses to regulatory inquiries, and maintain organized records of all examination-related correspondence and deliverables.

Project & Stakeholder Management

• Independently manage projects supporting Global Research Compliance and broader Compliance department initiatives, ensuring timely delivery against defined milestones.
• Collaborate with colleagues across regions to address cross-border regulatory questions, promote consistent global standards, and share best practices.
• Build and maintain strong relationships with senior stakeholders across business lines and control functions, and influence decision-making through sound judgment, practical guidance, and credible subject-matter expertise.

Required Qualifications

• Bachelor's degree required; advanced degree (J.D., M.B.A., or equivalent) preferred.
• Minimum of 5–8 years of Compliance experience at an investment bank, broker-dealer, or financial services firm, with demonstrated experience in Control Room, Research Compliance, or information barrier functions.
• Active FINRA Series 7 and Series 24 licenses (or ability to obtain within a defined timeframe).
• Strong working knowledge of equity research regulations, information barrier requirements, conflicts of interest management frameworks, and Investment Banking compliance workflows.
• Excellent written and verbal communication skills, with the ability to build credibility and influence senior stakeholders.
• Strong analytical and problem-solving abilities, with a proactive, adaptable, and detail-oriented mindset.
• Ability to work effectively both independently and within a team.

Preferred Qualifications

• Experience with global research distribution models and cross-border regulatory considerations (e.g., MiFID II, FCA requirements).
• In-depth familiarity with FINRA Rules 2241/2242, Regulation M, Regulation AC, Regulation FD, and related SEC and SRO regulatory frameworks.
• Prior experience supporting regulatory exams or interactions with FINRA/SEC.
• Experience developing compliance training programs, policy frameworks, or compliance technology solutions.

Compensation

The actual base salary will be determined on an individualized basis taking into account 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), this position may be eligible for additional types of 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.

Cantor Fitzgerald is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by applicable law.

** No Relocation Assistance available

** No Sponsorship available

** No Vendor resumes will be accepted at this time