Compliance Exchange Group (CXG) is a leading compliance partner for FINRA‑regulated broker‑dealers across the U.S., providing outsourced principals, CCO and FINOP services, CMA‑1017 support, and tailored compliance consulting. The firm specializes in scalable, cost‑effective solutions that enable small to mid‑size firms and startups to obtain FINRA approval, grow into new markets, and manage risk without the burden of building full in‑house teams. CXG’s unique value lies in its ability to deliver seasoned compliance leaders—such as Series 24 CCOs, FINOPs, and CFOs—at a fraction of traditional costs, while offering rapid approval and M&A advisory services for buying or selling broker‑dealer operations. With a focus on removing barriers to growth, CXG empowers broker‑dealers to concentrate on revenue generation while maintaining rigorous regulatory compliance.
Open Positions
HR Generalist
Bachelor's degree in HR or related field. Experience as HR Generalist or related position is required. Knowledge of HR policies and labor laws.
Broker Dealer MAP Specialist
Prior financial services experience. Must report to the Operations Manager. A paralegal or MAP position within the financial services industry is required
Broker Dealer Compliance Officer Remote
Experience with FINRA series 7 & 24 licenses and active licenses is required. Must have prior experience in regulatory compliance