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Broker Dealer Compliance Officer Remote
CXG HoldingsSmithtown, New York
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Job Description
Benefits:
- 401(k)
- Dental insurance
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Parental leave
- Training & development
- Vision insurance
We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses. This role will report to our Director of Growth and Operations.
Compliance Exchange Group (CXG) is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. We are the architects charged with building successful firms for our clients. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.
We love what we do and we’re on a path for growth. Compliance Exchange Group is comprised of professionals that exhibit a passion for building and maintaining broker-dealers. We offer a fully remote work environment with a company culture that promotes personal and professional development as well as a healthy work-life balance. We provide an array of benefits including competitive compensation, flexible work schedules, PTO, 401(k) with employer contribution, performance-based bonuses, opportunities for growth and more!
This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour
This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour
This is a remote position.
Compensation: $40.00 - $60.00 per hour
About CXG
Compliance Exchange Group operates at the vanguard of Broker Dealer consulting and Chief Compliance Officer outsourcing providers. Others claim to be “full service” while only hosting limited capabilities. At CXG we live up to the label, we outsource the complete range of compliance & finance Principals, including:
- Chief Compliance Officers
- FinOps
- Licensed Principals
- Series 4 – Registered Options
- Series 24 – General Securities
- Series 79 – Investment Banking
Another reason our services stand head-and-shoulders above others is our roster of seasoned, highly experienced talent. Our Principals have built and developed Investment Banks and Trading Rooms, they have created Broker Dealers from scratch. They’ve also held CEO, CFO, CCO, FinOp, and Board roles at a variety of organizations, so they know the ins and outs of how businesses grow efficiently and effectively.
Our superior talent and practical experience are why start-ups seeking FINRA approval and small- to mid-size firms looking to grow trust us to supply them with outsourcing solutions that work.
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