BrokerDealer CEO

CXG Holdings Inc; Town of Smithtown (NY); Vor Ort; USD 150.000 - 175.000; Vollzeit

Benefits dieser Stelle

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

Zusammenfassung

Compliance Exchange Group (CXG) is a leading broker-dealer consulting and regulatory leadership firm. Headquartered in Smithtown, NY, we help broker-dealers launch, operate, and grow through executive leadership, regulatory expertise, and operational support.

As Managing Director, you will provide executive oversight and strategic direction, work with regulators and attorneys, and guide growth initiatives while maintaining high regulatory standards across client organizations.

Qualifikationen

• Active FINRA Series 24 License.
• Active FINRA Series 7 License.
• 7+ years of broker-dealer industry experience.
• 3+ years in a leadership role (CEO, President, COO, CCO, Managing Director or equivalent).
• Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations.
• Experience interacting directly with regulators and managing examinations.
• Willingness to work full-time from Smithtown, NY office.

Aufgaben

• Provide executive leadership and strategic direction for broker-dealer operations.
• Oversee regulatory examinations, inquiries, and audits.
• Supervise operations personnel and approve changes and new activities.
• Develop relationships with regulators, attorneys, and industry professionals.
• Represent the firm at industry events and conferences.
• Identify growth opportunities and lead strategic expansion efforts.

Kenntnisse

Leadership

Regulatory knowledge

Communication

Organizational skills

Regulatory interactions

Broker-dealer regulation

Ausbildung

MBA or advanced business degree

Jobbeschreibung

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

$150,000 – $175,000 Base Salary + Performance Bonus + Long-Term Growth Opportunity

About Compliance Exchange Group

Compliance Exchange Group (CXG) is one of the nation's 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 industry's 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.