Description Main purpose of the Role: To conduct Regulatory Reviews of the firm and its functions through the Compliance Monitoring Programme as part of the Compliance Framework. To assist the other members of the Compliance Review Team members in the execution of duties. To conduct internal investigations when directed by Compliance management. To conduct investigations as required by external Regulatory bodies. To provide regulatory support and advice to the firms internal stakeholders. Key Responsibilities: Core Activity Perform Regulatory reviews (both desk based reviews and thematic) using a risk based approach as defined within the Compliance Monitoring Programme. Develop the Compliance Monitoring Programme with support from the Compliance Reviews Team Manager. Liaising with the Compliance Reviews Team Manager to produce reports based on reviews conducted, to discuss results and recommendations with the business and to assign owners to findings. Assist with tracking findings and recommendations and ensure these are closed appropriately within agreed time lines. Escalate issues which are not remediated within agreed timeframes to the Compliance Reviews Team Manager. Liaise with the Compliance Reviews Team Manager, the business and support functions to identify risk areas, investigate issues and agree recommended actions. Help develop the Compliance Monitoring Programme with support from the Compliance Reviews Team Manager. Conduct investigations (regulatory and internal) when required. Provide advice and guidance to the business and Compliance colleagues. Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC/ Cantors group. Be alert to Conduct Risk issues, specifically the r isk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firm. Escalate any issues identified to the Compliance Reviews Team Manager according to the escalation procedures. Compliance Risk Management Framework Provide input into assessing the effectiveness of the Risk Assessments. Support the Compliance Reviews Team Manager, Head of Compliance and the MLRO with investigations of suspicious behaviour. Skills / experience required: A good understanding of the FCA handbooks and the ability to apply the knowledge to a commercial environment. A good working knowledge of a wide range of financial product and services. Knowledge of financial products advantageous. Appropriate professional/industry qualifications. Some years’ experience within a Compliance function.Some experience within a reviews / monitoring role is preferable. Experience of a front office environment is preferable. The ability to perform risk based analysis of MI and to identify risks and remediation actions. Systems used: Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.) Excellent PC skills including Word, Excel and PowerPoint. Personal attributes: Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisation. Excellent report writing. Attention to detail and ability to spot anomalies. Good organisational and time management. Ability to work autonomously or as part of a team. To all recruitment agencies – BGC Group & affiliates do not accept agency resumes. Please do not forward resumes to our job alias, employees or any other company location. BGC Group & affiliates are not responsible for any fees related to unsolicited resumes. Please contact the Recruitment function for additional details