Job Description

Job Description

Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Finop for its group of companies. The Finop will report directly to the firm’s Director of Operations.

We require a well-organized, self-motivated individual that is interested in a long-term opportunity to grow with a successful consulting and investment firm. The Finop is expected to add value, work efficiently and constantly strive to improve team performance throughout their function.

This is full-time remote position. The Finop will be required to attend daily Zoom and/or phone calls with various staff to communicate with the office and clients.

Responsibilities

• Coordinating and preparing financial statements and annual audit reports
• Coordinating and conducting firm audits
• Assessment of current accounting operations, offering recommendations for improvement
• Overseeing regulatory reporting and compliance
• Researching technical accounting and broker-dealer specific guidance
• Net Capital Compliance, FOCUS, SSOI, Form Custody, SIPC 6 &7 reports
• FINRA examination support

Qualifications

• FINRA Series 27 FINOP required
• Bachelor’s degree in accounting, financial management or similar required
• 2+ years relevant experience
• CPA a plus
• Understanding of GAAP

Additional

• Analytical skills
• Ability to work independently
• 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
• Takes initiative
• Confident and resourceful in problem solving
• Consistently demonstrates added value to the firm

Hours and Benefits

• 100% remote
• Full-time
• $90,000 - $120,000 annually

Company Description

CXG (www.cxgllc.com) 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.

Company Description

CXG (www.cxgllc.com) 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.