Broker Dealer Compliance Officer Remote
CXG Holdings IncUnited States
Posted May 7, 2025
80000 - 120000 USD year
Full Time
About the Company
Compliance Exchange Group (CXG) is a leading compliance services firm that specializes in supporting FINRA‑regulated broker‑dealers across the United States. The company offers a full suite of outsourced solutions—including Chief Compliance Officer (CCO), Financial Operations (FINOP), and Registered Options Principal (ROP) services—alongside regulatory consulting, CMA‑1017 assistance, and broker‑dealer M&A support. CXG distinguishes itself by providing seasoned, licensed professionals at a fraction of in‑house costs, enabling firms to scale quickly, manage risk, and accelerate market entry. Its agile, cost‑effective model serves both small‑to‑mid‑size firms and start‑ups seeking rapid FINRA approval or expansion, positioning CXG as a growth engine for broker‑dealers.
Job Description
CXG is seeking a Broker Dealer Compliance Officer to provide regulatory compliance services to client broker-dealers, including establishing processes. The role requires prior experience with FINRA Series 7 & 24 licenses and is report to the Director of Growth and Operations. The company offers a fully remote work environment with a supportive culture focused on growth and work-life balance.
Requirements
- Establish processes
- Previous experience with FINRA Series 7 & 24 licenses
- Active FINRA Series 7 & 24 licenses
Benefits
- Dental insurance
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Parental leave
- Training & development
- Vision insurance
