Paralegal

CXG Holdings

Job Location:

Smithtown, NY - USA

Yearly Salary: $ 60000 - 70000

Posted on: 8 days ago

Vacancies: 1 Vacancy

Job Summary

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 ()

CXG is seeking a detail-oriented Paralegal 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 Youll 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 attorneys on legal tasks

Qualifications

Bachelors degree
13 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: $60000 $70000 (based on experience)
Performance-based bonuses
PTO
Health dental and vision benefits

This is a full-time in-office position based in Smithtown NY (MondayFriday 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: $60000.00 - $70000.00 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.

Benefits:401(k) matchingBonus based on performanceCompetitive salaryDental insuranceFlexible scheduleOpportunity for advancementPaid time offParental leaveTraining & developmentVision insuranceTitle: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)Location: Smithtown NY (In-Office...