Broker Dealer Compliance Officer Remote
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Job Location:
Smithtown, NY - USA
Hourly Salary:
$ 40 - 60
Posted on:
2 days ago
Vacancies:
1 Vacancy
Job Summary
Benefits:
- 401(k)
- Dental insurance
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Parental leave
- Training & development
- Vision insurance
Were currently seeking an additional Compliance Officer to join our this role youll 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 were 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 (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.
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Compliance Exchange Group (CXG) is a premier Broker-Dealer consulting firm, focused on FINRA compliance, SEC regulation, and outsourcing licensures.
