ABOUT 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 ROLE

As 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.