As an integral member of the Client Data Management team at Cantor Fitzgerald, you will be responsible for conducting thorough quality assurance reviews of Customer Due Diligence (CDD) and Know Your Customer (KYC) processes. Your primary focus will be on maintaining the accuracy, completeness, and compliance of client due diligence records, adhering to internal policies and regulatory requirements. This role is crucial in identifying and mitigating financial crime risks, and you will collaborate closely with Compliance, AML, and Operations teams to enhance overall process quality.
Responsibilities- Conduct detailed quality assurance reviews of CDD/KYC files, including client identification, beneficial ownership, and risk assessments.
- Ensure all records meet internal and regulatory standards, evaluating adherence to policies and regulations.
- Identify gaps, inconsistencies, or missing information within due diligence processes, supporting remediation efforts.
- Provide structured, actionable feedback to analysts and onboarding teams to improve quality and consistency.
- Enforce quality control frameworks and procedures to ensure standardization across CDD/KYC processes.
- Stay updated on global regulatory frameworks, such as FATF, and ensure compliance.
- Collaborate effectively with cross-functional teams, including Compliance, AML, and Operations.
- Document findings clearly and maintain accurate records of quality assurance reviews.
- Support the implementation of process improvements and best practices.
- Bachelor's Degree in a relevant field (e.g., Finance, Law, Compliance).
- Proven experience in CDD, KYC, AML, or Financial Crime Compliance within a regulated environment.
- Prior experience in a Quality Assurance or Quality Control role is strongly preferred.
- Strong understanding of customer due diligence requirements, including beneficial ownership and risk rating methodologies.
- Familiarity with regulatory frameworks such as BSA/AML, FATF, or equivalent global standards.
- Excellent attention to detail, with the ability to identify errors and inconsistencies.
- Strong analytical and problem-solving skills, with a risk-based decision-making approach.
- Effective communication skills, both written and verbal.
- Ability to work independently and manage multiple priorities in a fast-paced environment.
- Proficiency in Microsoft Office; experience with KYC/CDD systems is an advantage.
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About UsSkills Required
- Bachelor's Degree in Finance, Law, Compliance or relevant field
- Proven experience in CDD, KYC, AML, or Financial Crime Compliance in a regulated environment
- Prior Quality Assurance or Quality Control experience
- Strong understanding of customer due diligence, beneficial ownership and risk rating methodologies
- Familiarity with regulatory frameworks such as BSA/AML, FATF or equivalent
- Excellent attention to detail and ability to identify errors and inconsistencies
- Strong analytical and problem-solving skills with a risk-based decision-making approach
- Effective written and verbal communication skills
- Ability to work independently and manage multiple priorities in a fast-paced environment
- Proficiency in Microsoft Office
- Experience with KYC/CDD systems
What We Do
Cantor Fitzgerald is a leading global financial services firm, serving clients from over 30 offices around the world. Founded in 1945 as a securities brokerage and investment bank, the firm pioneered computer-based bond trading, built one of the broadest distribution networks in the industry and became the market’s premier dealer of government securities. Today, Cantor Fitzgerald is known for its strength across a diverse array of businesses, including equity and fixed income capital markets, investment banking, commercial real estate finance and services, prime brokerage, asset management and wealth management, and e-commerce and online ventures. In all its businesses, the firm is an acknowledged leader in developing advanced technologies to expand market access, and help clients achieve their most important financial and strategic objectives. This commitment to client-centered innovation has led to enduring relationships with many of the world’s most demanding institutional investors and corporations. For more information please visit www.cantor.com.
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