Associate, Client Due Diligence Quality Checker

Role Overview

Join the Client Data Management team at Cantor Fitzgerald as an Associate responsible for comprehensive quality assurance of Customer Due Diligence (CDD) and Know Your Customer (KYC) procedures. You will ensure the accuracy, completeness, and regulatory compliance of client due diligence documentation, playing a key role in detecting and mitigating financial crime risks. Collaboration with Compliance, AML, and Operations teams is essential to improve process quality and adherence.

Key Responsibilities

• Perform in-depth quality assurance of CDD/KYC documentation, focusing on client identification, beneficial ownership, and risk assessments.
• Verify that all client records comply with both internal policies and applicable regulatory requirements.
• Identify deficiencies, inconsistencies, or missing information within due diligence records and assist in corrective actions.
• Provide detailed, actionable feedback to analysts and onboarding teams to enhance data quality and uniformity.
• Implement and maintain quality control procedures to standardize CDD/KYC process execution.
• Keep abreast of international regulatory standards such as FATF to ensure ongoing compliance.
• Work closely with Compliance, Anti-Money Laundering (AML), and Operations teams fostering cross-functional synergy.
• Document audit results clearly and maintain comprehensive records of quality assessment activities.
• Contribute to ongoing process enhancements and adoption of industry best practices.

Qualifications and Skills

• Bachelor’s degree in Finance, Law, Compliance, or a related discipline.
• Demonstrated experience in CDD, KYC, AML, or Financial Crime Compliance within a regulated sector.
• Experience in Quality Assurance or Quality Control roles is highly valued.
• Strong grasp of customer due diligence practices including beneficial ownership and risk rating techniques.
• Knowledge of regulatory frameworks such as BSA/AML, FATF, and related global policies.
• Excellent attention to detail with the capability to identify errors and gaps in documentation.
• Analytical and problem-solving acumen with a risk-focused decision-making style.
• Effective communicator both in writing and verbally.
• Ability to manage multiple tasks independently within a dynamic environment.
• Proficiency in Microsoft Office; familiarity with KYC/CDD software is advantageous.

About Cantor Fitzgerald

Established in 1945, Cantor Fitzgerald L.P. employs over 16,000 professionals worldwide and is recognized for pioneering financial and technological innovations. It serves more than 5,000 institutional clients across global markets including fixed income, equity capital, investment banking, SPAC underwriting, PIPE placements, and commercial real estate. The company operates trading desks across major financial centers and maintains offices in over 30 locations globally.

As one of the few remaining private partnerships on Wall Street, Cantor emphasizes long-term value creation and strong client relationships, with a nimble structure that swiftly addresses client needs and promotes innovative problem-solving free from bureaucratic constraints. This environment attracts driven individuals eager to excel.