Job Description

Job Description

Job Description

Compliance Exchange Group ( is seeking a Broker Dealer Compliance Officer for its group of companies. The CO will report directly to the firm’s Senior Compliance Officer.

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 CO is expected to add value, work efficiently and constantly strive to improve team performance throughout their function.

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

Responsibilities

• Coordinate with Compliance team 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
• Contribute to organizational learning by leading, mentoring and coaching
• Continually improve compliance program for relevant entity
• Identify and react to changes in regulatory requirements
• Ensure that business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
• Lead ongoing risk assessments of compliance policies and procedures.
• Support the preparation of quarterly and annual compliance reports.
• Coordinate annual and periodic regulatory filings.

Qualifications

• Bachelor’s degree is required
• 1+ year prior Broker Dealer compliance experience
• FINRA Series 7 & 24 required
• FINRA Series 4 and 53 a plus

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

• Full-time
• 100% remote
• $50,000-60,000 annually

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.

Company Description

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.

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