Senior 3130 Tester
Cantor Fitzgerald Securities

Job Info

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JOB DESCRIPTION

Job Title: Senior Testing Controls Officer (for FINRA 3120 Testing)

Location: New York City or New Jersey / Hybrid (4/1)

Firm Overview:

BGC Partners is a leading global brokerage and financial technology company. BGC specializes in the brokerage of a broad range of products, including fixed income (rates and credit), foreign exchange, equities, energy and commodities, shipping, insurance, and futures. BGC also provides a wide variety of services, including trade execution, brokerage, clearing, trade compression, post-trade, information, and other back-office services to a broad range of financial and non-financial institutions. Through brands including Fenics, BGC Trader, Capitalab, Lucera, and Fenics Market Data, BGC offers financial technology solutions, market data, and analytics related to numerous financial instruments and markets. BGC, BGC Trader, GFI, Fenics, Fenics Market Data, Capitalab, and Lucera are trademarks/service marks and/or registered trademarks/service marks of BGC Partners, Inc., and/or its affiliates.

Responsibilities:

• The Senior Testing Controls Officer will report to the Supervisory Controls Testing Manager. The Testing Team will be responsible for conducting 3120 Supervisory Control reviews for the firm's Broker Dealers and other control reviews for its affiliated entities. The team will be responsible for conducting comprehensive reviews of the firm's supervisory policies and procedures and testing their effectiveness.
• Develop a testing program for the firm's regulated entities, which are institutional focused, in conjunction with senior management and Compliance. The plan should be risk based and incorporate recent findings from regulatory examinations and hot button industry issues. The testing program should incorporate changes of recent regulatory rules and regulations into the testing schedule.
• Provide comprehensive reports to management on the team's findings of their reviews.
• Provide comprehensive reports for required Annual Compliance filings including but not limited to the firm's BDs, FCMs, SEFs and other regulated entities.
• Follow-up with the respective groups to ensure issues identified have been rectified and/or escalated.
• Must be able to work effectively with both the firm's front office and support functions to expedite reviews, identifying areas for improvement.

Qualifications:

• Experience in Internal Audit or Testing team of control functions
• Must have an understanding of the control functions of a Broker Dealer and/or similar entities i.e. FCM or SEF
• Familiar with CFTC, SEC, FINRA and NFA Rules
• Thorough understanding of the 3120 requirements
• Series 7, 24, 99 helpful
• 5 years industry experience

Educational Qualifications:

• Bachelor's Degree required

Hybrid Working - We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review. Hybrid for BGC Partners across the working week, means three days office based and two days remote.

Salary: $120,000 - $150,000

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, 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.).

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