Compliance Analyst Paralegal
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Overview
Schedule
Full-time
Education
Bachelor's/Undergraduate Degree
Career level
Senior-level
Remote
On-site
Compensation
$60,000-$70,000/year
Benefits
Career Development
Dental Insurance
Vision Insurance
Job Description
Benefits:
- 401(k) matching
- Bonus based on performance
- Competitive salary
- Dental insurance
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Parental leave
- Training & development
- Vision insurance
Title: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)
Location: Smithtown, NY (In-Office)
Company: CXG (www.cxgllc.com)
CXG is seeking a detail-oriented Compliance Analyst to support the formation and ongoing operations of Finra & SEC regulated broker-dealers.
This role works directly with the Director of Operations and senior leadership to prepare and manage FINRA and SEC filings, coordinate regulatory processes, and support client engagements. This is a unique opportunity to gain hands-on experience building broker-dealers and working directly with regulators in a fast-growing consulting firm.
What You’ll Do
- Assist in preparing and managing FINRA New Member Applications (CMA process)
- Coordinate with FINRA, SEC, and state regulators
- Draft, review, and format regulatory filings and supporting documents
- Assist in drafting corporate documents, including resolutions and related materials
- Track application progress and maintain compliance timelines
- Support internal legal and compliance teams
- Organize and maintain documents in cloud-based systems
- Communicate with clients and internal stakeholders on a daily basis
- Work with in-house attorney's on legal tasks
Qualifications
- Bachelor’s degree
- 1–3 years experience in legal, compliance, financial services, or similar field
- Paralegal experience or legal support background preferred
- Experience drafting corporate documents (resolutions, agreements, etc.) is a plus
- Strong attention to detail and organizational skills
- Excellent writing and document formatting skills (Microsoft Word proficiency required)
- Ability to manage multiple projects simultaneously
- Strong communication skills and comfort working with senior professionals
Nice to Have (Not Required)
- Exposure to FINRA, SEC, or other regulators
- Interest in broker-dealers or financial services
- Experience with regulatory filings or structured documentation
Tools
- Microsoft Word (advanced formatting required)
- Excel, Outlook
- OneDrive or similar cloud-based document systems
Why Join CXG
- Direct exposure to FINRA and SEC processes
- Clear path to grow into senior compliance & legal roles
- Work closely with experienced leadership
- Fast-paced, high-growth environment
Compensation & Benefits
- Salary: $60,000 – $70,000 (based on experience)
- Performance-based bonuses
- PTO
- Health, dental, and vision benefits
This is a full-time, in-office position based in Smithtown, NY (Monday–Friday, 40 hours per week).
This role is ideal for someone highly organized, detail-oriented, and interested in building a long-term career in financial services, compliance, and regulatory operations.
Compensation: $60,000.00 - $70,000.00 per year
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
- Chief Compliance Officers
- FINOPs
- Licensed Principals
- Series 4 – Registered Options
- Series 24 – General Securities
- Series 79 – Investment Banking
CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication — both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.
Automate your job search with Sonara.
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FAQs About Compliance Analyst Paralegal Jobs at CXG Holdings
What is the work location for this position at CXG Holdings?
This job at CXG Holdings is located in Smithtown, New York, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at CXG Holdings?
Candidates can expect a pay range of $60,000 and $70,000 per year.
What employment applies to this position at CXG Holdings?
CXG Holdings lists this role as a Full-time position.
What experience level is required for this role at CXG Holdings?
CXG Holdings is looking for a candidate with "Senior-level" experience level.
What education level is required for this job?
The education requirement for this position is Bachelor's/Undergraduate Degree. Candidates with relevant qualifications or equivalent experience may also be considered.
What benefits are offered by CXG Holdings for this role?
CXG Holdings offers following benefits: Career Development, Dental Insurance, Vision Insurance, Paid Time Off, and Parental Leave for this position. Actual benefits may vary depending on the employer's policies and employment terms.
What is the process to apply for this position at CXG Holdings?
You can apply for this role at CXG Holdings either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.