Job Description

Job Opportunity: Senior Compliance Advisory Officer (Director / Executive Director)

Hybrid | Central London

Department:

CFE Compliance

Reports to:

Head of CFE Compliance

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.

What We're Looking For

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.