Benefits:

401(k)

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

Compliance Exchange Group (www.cxgllc.com) is seeking a well-organized, self-motivated, detail-oriented individual to join its compliance outsourcing team as a Broker Dealer Compliance Officer. The CO will report directly to the firm’s Manager of Operations.

CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U.S. We are one of the few firms that provide fully outsourced principal solutions, in addition to regulatory consulting, CCO & FINOP outsourcing, and CMA - 1017 services. A true engine for growth, CXG serves broker-dealers, removing barriers to growth, putting our clients in the lead.

This full-time remote position is expected to add value, work efficiently and constantly strive to improve team performance throughout their function. Attendance on daily ZOOM/TEAM calls and/or phone calls with team members and clients is required.

Responsibilities:

Coordinate with Operations Manager for work being performed on behalf of clients

Analyze and interpret regulatory and compliance issues

Assist in developing and implementing Written Supervisory Policies and Procedures

Test and evaluate compliance and business processes

Guide clients in a productive and professional manner

Support day-to-day Broker-Dealer compliance

Interact with regulators on compliance issues

Assist with efforts related to audits, reviews, and examinations

Continually improve compliance program for relevant entity

Identify and react to changes in regulatory requirements

Support the preparation of quarterly and annual compliance reports

Qualifications:

3-5 years Broker Dealer and Advisory compliance experience

SEC Investment Advisors Act of 1940 experience

Well-organized, detail oriented, and accurate; must be able to multi-task

Ability to foster process improvement and customer service

Responsive and professional demeanor

Ability to work in a collaborative team environment

FINRA Series 7 & 24 required

FINRA Series 4 and 53 a plus

Additional:

Analytical skills

Ability to work independently

Time management and flexibility; able to prioritize

Proficiency in using Microsoft Office including Word, Excel, PowerPoint, Outlook, OneDrive, OneNote, etc.

Excellent written and verbal communication

Ability to exercise sound judgement, discretion, and confidentiality in all matters involved in this position

Highly motivated

Confident and resourceful in problem solving

Benefits:

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, 401K, dental, vision, performance-based bonuses, opportunities for growth and more!

This is a remote position.