Senior Compliance Advisory Officer
- London
- Permanent
- Full-time
Department: CFE Compliance
Reports to: Head of CFE ComplianceAbout Cantor Fitzgerald Europe (CFE)Cantor Fitzgerald Europe (CFE) is a dynamic and fast-growing capital markets and financing business, spanning Investment Banking and Sales & Trading. As a crucial part of this high-energy environment, the CFE Compliance team enables growth through proactive, solutions-oriented regulatory support.We're a collaborative, forward-thinking team looking for someone who thrives on challenge, embraces change, and is excited to shape the future of a rapidly scaling business.The RoleAs a Senior Compliance Advisory Officer, you will be a key partner to the business, providing expert compliance guidance across Investment Banking, Sales & Trading, and optionally, Portfolio and Asset Management. This role is pivotal in ensuring strong controls around market conduct, conflicts of interest, and the handling of material non-public information (MNPI). You'll support strategic initiatives including new product launches, market expansion, and regulatory change-embedding compliance into the heart of business innovation.Key Responsibilities
- Partner with the Head of Compliance and wider teams on strategic growth projects, including new business lines, geographic expansion, and digital transformation.
- Deliver real-time advisory support to front-office teams across Investment Banking, Sales & Trading, and Research.
- Interpret and apply regulations (e.g., MAR, MiFID II, FCA Handbook, SEC rules) to key business activities such as deal structuring and trade execution.
- Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
- Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
- Lead regulatory risk assessments and collaborate with Legal, Risk, Finance, and business teams to ensure robust controls.
- Contribute to regulatory horizon scanning and strategic readiness planning.
- Deliver training on conduct risk, regulatory requirements, and compliance obligations.
- Present compliance MI and updates to senior leadership and governance committees.
- Interface with regulators, auditors, and internal assurance teams as needed.
- 15+ years of experience in Compliance Advisory roles, with expertise in Investment Banking and Sales & Trading (Asset/Portfolio Management experience a plus).
- Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
- Deep knowledge of UK, EU, and global regulations (e.g., MAR, MiFID II, DTR, SSR).
- Strong track record in supporting strategic business initiatives and regulatory change.
- Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.