Compliance Testing Officer
Company: BGC Partners
Location: Jacksonville
Posted on: January 8, 2026
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Job Description:
At Cantor Fitzgerald, a leading global financial services firm,
we are seeking a Compliance Testing Officer to join our team. This
role is integral to our compliance testing program, as it involves
evaluating controls and processes to meet regulatory and internal
policy requirements. The successful candidate will collaborate with
various stakeholders to ensure compliance with financial and
securities laws. This position offers a unique opportunity to
contribute to the firms commitment to innovation and integrity.
Responsibilities Research and analyze financial services laws and
regulations to identify the firms risk exposure. Develop and
execute test scripts for financial regulations, assessing risks and
control effectiveness. Conduct compliance reviews of supervisory
controls across broker-dealer entities and affiliates. Engage with
front, middle, and back-office teams to validate facts and drive
timely testing completion. Draft and present clear findings,
communicating control gaps and associated risks to stakeholders.
Collaborate with Compliance Advisory and Central Compliance to
develop the annual Compliance Testing Plan. Prepare annual
compliance reports and regulatory filings for various regulated
entities. Identify and implement program enhancements to
continuously improve compliance testing. Support management with
ad-hoc projects and initiatives as needed. Qualifications
Demonstrated experience in Internal Audit, Compliance Testing, or
Controls Testing functions is preferred. Working knowledge of
broker-dealer products, services, and operational processes is
essential. Strong understanding of CFTC, SEC, FINRA, and NFA rules
and regulations. Proficiency in data analysis using Microsoft
Excel, identifying trends and summarizing findings. Excellent
verbal and written communication skills, with the ability to
present and influence stakeholders. Self-motivated, able to work
independently, manage priorities, and meet deadlines. FINRA Series
7, 24, or 99 licenses are preferred but not mandatory. A minimum of
3 years of relevant industry experience is required. Bachelors
Degree is mandatory, with a concentration in Finance, Accounting,
or a related field preferred.
Keywords: BGC Partners, Daytona Beach , Compliance Testing Officer, Accounting, Auditing , Jacksonville, Florida
