Junior Audit Associate - Compliance | London, UK

Ensure security, prevent and detect fraud, and fix errors. Your data can be used to monitor for and prevent unusual and possibly fraudulent activity (for example, regarding advertising, ad clicks by bots), and ensure systems and processes work properly and securely. It can also be used to correct any problems you, the publisher or the advertiser may encounter in the delivery of content and ads and in your interaction with them.

Deliver and present advertising and content. Certain information (like an IP address or device capabilities) is used to ensure the technical compatibility of the content or advertising, and to facilitate the transmission of the content or ad to your device. Save and communicate privacy choices. The choices you make regarding the purposes and entities listed in this notice are saved and made available to those entities in the form of digital signals (such as a string of characters). This is necessary in order to enable both this service and those entities to respect such choices.

Store and/or access information on a device. Precise geolocation data, and identification through device scanning. Precise geolocation and information about device characteristics can be used. Content measurement and services development. Content performance can be measured. Your activity on this service can help develop and improve products and services. Personalised advertising and content, advertising and content measurement, and audience research. Advertising and content can be personalised based on your profile. Your activity on this service can be used to build or improve a profile about you for personalised advertising or content. Advertising and content performance can be measured. Reports can be generated based on your activity and those of others.

Position Summary: The Associate is expected to execute audits on Cantor Fitzgerald Group of Companies, and as part of the global Internal Audit team covering the Group, the individual might be exposed to engagements involving any of the following businesses: Cantor Fitzgerald, BGC Group Inc, and Newmark Group Inc.

Key Responsibilities:

• Perform risk-based audit work, including detailed walkthroughs, flowcharts, documentation review, and substantive testing.
• Assess control strengths and weaknesses and determine compliance with policies and procedures.
• Prepare clear and concise audit work papers in accordance with Internal Audit Policies.
• Ensure audit works are delivered on time.
• Draft and present comprehensive management action plans and audit reports for review.
• Follow-up with business and compliance leaders to ensure control issues are resolved.
• Build and maintain relationships with audit clients and key stakeholders.
• Provide guidance on emerging trends and issues to senior leadership to improve processes.

Key Requirements:

• 3+ years of relevant experience, with an undergraduate degree or relevant certifications.
• Relevant certifications such as CAMS, ACSS, CIA, CFE, or licenses like SIE, Series 3, 7, 24 are assets.
• Deep knowledge of compliance programs (KYC/EDD, AML & Sanctions) and regulatory requirements.
• Experience in areas like Investment Banking, Fixed Income, Real Estate, Commodities, SOX Testing, Asset Management, Market Data, Swaps, or SEF Reporting is a plus.
• Ability to handle confidential information with discretion and integrity.
• Proficiency with MS Office and analytical tools.
• Strong negotiation, decision-making, and collaborative skills.
• Effective communication skills and ability to build relationships in a fast-changing environment.