Enter a job title or keyword

Broker-Dealer CEO

CXG Holdings

Job Location:

Smithtown, NY - USA

Yearly Salary: USD 150000 - 175000

Posted: 13 June 2026 (30+ days ago)

Application Deadline: 9 November 2026

Vacancies: 1 Vacancy

The job posting is outdated and position may be filled

Job Summary

Benefits:

Bonus based on performance
Competitive salary
Flexible schedule
Opportunity for advancement
Paid time off
Training & development
401(k)
401(k) matching
Dental insurance
Parental leave
Vision insurance

Broker-Dealer CEO

Location: Smithtown NY (In-Person)

Employment Type: Full-Time

Compensation: $150000 $175000 Base Salary Performance Bonus Long-Term Growth Opportunity

About Compliance Exchange Group

Compliance Exchange Group (CXG) is one of the nations leading broker-dealer consulting executive leadership and compliance firms. For more than a decade we have helped broker-dealers launch operate and grow through executive leadership regulatory expertise compliance management and operational support.

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate CXG has earned a reputation as one of the industrys most trusted partners for broker-dealer formation executive management and regulatory success.

As our firm continues to expand we are seeking an experienced broker-dealer executive to join our leadership team at our Smithtown New York headquarters.

Position Overview

The Managing Director will play a key leadership role within CXG and the broker-dealer organizations we support.

The successful candidate will provide executive oversight regulatory guidance operational leadership and strategic direction while working closely with senior management regulators attorneys and industry professionals.

This is a long-term leadership opportunity for an individual who enjoys building organizations solving complex regulatory and operational challenges and making a meaningful impact on the growth and success of financial services firms.

Responsibilities

Executive Leadership

Provide executive leadership and strategic direction for broker-dealer operations.
Participate in business planning growth initiatives and organizational development.
Serve in senior executive capacities including CEO and/or Chief Compliance Officer functions where appropriate.
Advise firm owners and executive management on operational regulatory and strategic matters.
Participate in executive meetings board meetings and strategic planning sessions.

Regulatory & Compliance Oversight

Maintain direct interaction with FINRA SEC state regulators auditors and legal counsel.
Participate in regulatory examinations inquiries and audits.
Oversee supervisory systems compliance programs and risk management initiatives.
Ensure adherence to applicable FINRA SEC and state regulatory requirements.
Assist with regulatory filings business changes and strategic growth initiatives.

Operational Management

Supervise registered principals compliance professionals operations personnel and support staff.
Review and approve operational changes new business activities and strategic initiatives.
Help improve operational efficiency and regulatory readiness.
Collaborate with internal teams to support organizational and client success.

Business Development & Relationship Management

Build and maintain strong relationships with clients regulators attorneys and industry professionals.
Represent the firm at industry events conferences and networking opportunities.
Identify opportunities to strengthen client relationships and support firm growth.
Contribute to business development initiatives and strategic expansion efforts.

Qualifications

Required

Active FINRA Series 24 License.
Active FINRA Series 7 License.
7 years of broker-dealer industry experience.
3 years in a leadership role including CEO President COO CCO Managing Director or equivalent executive position.
Strong knowledge of FINRA SEC AML and broker-dealer regulations.
Experience interacting directly with regulators and managing examinations.
Strong leadership communication and organizational skills.
Ability to work full-time from our Smithtown New York office.

Preferred

MBA or advanced business degree.
Previous broker-dealer CEO experience.
Previous Chief Compliance Officer experience.
Experience with startup broker-dealers.
Experience with FINRA Rule 1017 filings and material business changes.
Additional FINRA licenses including Series 4 27 53 or 79.
RIA experience.
Experience with mergers acquisitions or strategic transactions.

What We Offer

Competitive compensation package.
Performance-based bonus opportunities.
Long-term career growth within an expanding organization.
Meaningful executive leadership responsibilities.
Direct exposure to broker-dealer owners regulators and industry leaders.
Opportunity to build a high-impact career while remaining on Long Island.
Collaborative entrepreneurial and growth-oriented culture.
Opportunity to work alongside some of the most experienced broker-dealer professionals in the industry.

If you are an experienced broker-dealer professional seeking a leadership role with significant responsibility growth potential and long-term opportunity we encourage you to apply.

Compensation: $150000.00 - $175000.00 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.

Required Experience:

Chief

Apply Now