AVP Client Data Management

Job Description

We are seeking an experienced professional to join Cantor Fitzgerald Securities as an AVP, Client Data Management. This role is integral to our CF Securities: Client Due Diligence department, where you will play a key role in managing client onboarding and data processes, ensuring compliance with regulatory requirements, and leading a collaborative, high-performing team. Your expertise will be instrumental in driving process improvements and maintaining operational excellence.

Responsibilities

• Manage and support end-to-end client onboarding and account setup for the Americas region, adhering to internal policies and regulations.
• Ensure accurate and timely completion of onboarding requests, maintaining high standards of quality and compliance.
• Identify process gaps and lead initiatives to enhance efficiency, client experience, and operational effectiveness.
• Assist in maintaining robust controls and procedures to mitigate operational and regulatory risks.
• Support Client Due Diligence (CDD) and KYC processes, ensuring compliance with FINRA, SEC, OFAC, and AML/BSA regulations.
• Partner with Compliance to address onboarding issues, escalations, and regulatory inquiries promptly.
• Provide day-to-day guidance and oversight to client onboarding and data management staff, fostering a collaborative team environment.
• Assist with training, onboarding, and performance support for team members, promoting continuous improvement.
• Produce and analyze management reports to track onboarding volumes, turnaround times, and key operational metrics, utilizing Excel, Power BI, or basic SQL.
• Act as a point of contact for cross-functional stakeholders, supporting regional initiatives and contributing to global discussions on onboarding standards.

Qualifications

• Bachelor's degree in Business, Finance, or a related field, or equivalent work experience.
• 5+ years of experience in client onboarding, data management, or a related field, preferably in the financial services industry.
• Strong knowledge of regulatory requirements, including FINRA, SEC, OFAC, and AML/BSA regulations.
• Excellent leadership and people management skills, with the ability to motivate and develop a high-performing team.
• Proven ability to work collaboratively across Operations, Compliance, Technology, and business functions.
• Strong analytical and problem-solving skills, with a focus on process improvement and efficiency.
• Proficiency in Excel, Power BI, or basic SQL for reporting and data analysis.
• Excellent communication and interpersonal skills, with the ability to build strong relationships with stakeholders.
• Ability to work in a fast-paced, dynamic environment, managing multiple priorities effectively.
• Strong attention to detail and a solutions-focused approach to work.