Surveillance Lead
About the job
- Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
- 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
- Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
- Familiarity with market abuse, insider trading, and conduct risk frameworks.
- Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
- Excellent analytical and communication skills.
- Strong attention to detail and sound judgment in assessing potential compliance risks.
- Ability to manage multiple priorities and meet tight deadlines in a fast-paced environment.
- High degree of integrity and discretion when handling confidential information.
- Monitor and review employee electronic communications (e.g., email, Bloomberg, Teams, WhatsApp, SMS, and other approved channels) for potential policy breaches, regulatory violations, or misconduct.
- Identify and escalate potential red flags related to insider trading, market manipulation, information leakage, fraud, or inappropriate business conduct.
- Classify, document, and track findings in the Firm’s surveillance systems in accordance with established procedures.
- Conduct detailed follow-up reviews on flagged communications and collaborate with Legal, HR, and/or business management where necessary.
- Assist in internal investigations and provide detailed summaries or case reports to senior compliance officers and other stakeholders, as needed.
- Help optimize electronic communication surveillance tools and lexicons to improve detection accuracy and reduce false positives.
- Participate in user acceptance testing (UAT) and enhancement initiatives for surveillance systems and compliance technology platforms.
- Stay current on relevant regulations (e.g., SEC, FINRA, FCA, MAS, HKMA) and ensure the surveillance program aligns with global regulatory expectations.
- Support internal and external audits, regulatory exams, and ad hoc data requests related to electronic communications.
- Assist in developing or delivering training materials to employees regarding electronic communication standards and compliance best practices.
- Help promote a strong culture of ethical conduct and adherence to Firm communication policies.
- Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
About the company
Cantor Fitzgerald arranges financing and executes securities trades for corporations and institutional investors through its investment banking and brokerage businesses. Its capital markets teams work on equity and debt offerings, while advisers support mergers, acquisitions, and private investment transactions. Trading desks cover stocks and fixed-income securities, and its prime brokerage and investment management businesses support clients with financing and portfolio services. The firm earns underwriting and advisory fees, trading commissions, and investment management fees across these activities. Founded in 1945, Cantor Fitzgerald is headquartered in New York City.
Company Size
1,001-5,000
Company Stage
N/A
Total Funding
N/A
Headquarters
New York City, New York
Founded
1945
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Simplify's Take
What believers are saying
- Regional reach gains authorization: Cantor announced Abu Dhabi financial-services permission in May 2026.
- New York analysts gain structured development: Cantor's consumer-and-retail role includes internal training and mentorship.
- Irish graduates receive dedicated mentorship: Cantor Fitzgerald Ireland's 18-month programme combines shadowing, feedback, and senior-leader exposure.
What critics are saying
- Banking work stretches schedules: Cantor's New York consumer-and-retail analyst posting explicitly requires the ability to work long hours.
- Dealer operations require continuing upkeep: Cantor's Fed counterparty role brings weekly activity reporting and mandatory readiness exercises.
- Affiliated businesses add coordination demands: FINRA lists Cantor's broker-dealer and BGC entities under common control.
What makes Cantor Fitzgerald unique
- Government-market access is direct: Cantor Fitzgerald's U.S. broker-dealer is a New York Fed primary dealer.
- Ownership stays private: Cantor Fitzgerald's employer profile identifies the firm as a privately held business.
- Trading funds annual philanthropy: Cantor and BGC donate one day's revenue to their September Charity Day.
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Benefits
Health Insurance
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401(k) Retirement Plan
Company News
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