Broker Dealer Compliance Officer Remote

CXG Holdings Inc; Town of Smithtown (NY); Remote; USD 40,000 - 60,000; Full time

Benefits offered by this job

401(k)

Dental insurance

Flexible schedule

Opportunity for advancement

Paid time off

Parental leave

Training & development

Vision insurance

Job summary

A leading company in regulatory compliance services is seeking a Compliance Officer. This fully remote role involves providing compliance services to broker-dealers, requiring active FINRA Series 7 & 24 licenses. The company offers competitive pay and a supportive work environment.

Qualifications

• Prior experience in compliance and holds active FINRA Series 7 & 24 licenses.

Responsibilities

• Provide regulatory compliance services to client broker-dealers.
• Establish compliance processes.

Skills

Regulatory Compliance

Process Establishment

Job description

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Opportunity for advancement
• Paid time off
• Parental leave
• Training & development
• Vision insurance

We're currently seeking an additional Compliance Officer to join our team. In this role, you'll provide regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will have prior experience and hold active FINRA Series 7 & 24 licenses. This role reports to our Director of Growth and Operations.

Compliance Exchange Group (CXG) is the market leader in providing comprehensive turn-key services for Broker Dealers, including CMA / NMA services, buying, selling, and building Broker Dealers. We are the architects responsible for building successful firms for our clients, including principal outsourcing at all levels such as CCO, FINOP, and CEO, as well as developing regulatory compliance systems to meet FINRA, SEC, state, and federal requirements.

We are passionate about our work and are on a growth trajectory. CXG is composed of professionals dedicated to building and maintaining broker-dealers. We offer a fully remote work environment, a company culture that encourages personal and professional development, and a healthy work-life balance. Our benefits include competitive compensation, flexible work schedules, PTO, 401(k) with employer contributions, performance-based bonuses, opportunities for growth, and more!

This role is available as both a W2 and 1099 opportunity, with a compensation range of $40-$60 per hour.

This is a remote position.