Compliance Exchange Group (www.cxgllc.com) is seeking a well-organized, self-motivated, detail-oriented individual to join its compliance outsourcing team as a Broker Dealer Compliance Officer. The CO will report directly to the firm’s Manager of Operations.
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.
This full-time remote position is expected to add value, work efficiently and constantly strive to improve team performance throughout their function. Attendance on daily ZOOM/TEAM calls and/or phone calls with team members and clients is required.
Responsibilities:
- Coordinate with Operations Manager 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
- Continually improve compliance program for relevant entity
- Identify and react to changes in regulatory requirements
- Support the preparation of quarterly and annual compliance reports
Qualifications:
- 3-5 years Broker Dealer and Advisory compliance experience
- SEC Investment Advisors Act of 1940 experience
- Well-organized, detail oriented, and accurate; must be able to multi-task
- Ability to foster process improvement and customer service
- Responsive and professional demeanor
- Ability to work in a collaborative team environment
- FINRA Series 7 & 24 required
- FINRA Series 4 and 53 a plus
Additional:
- Analytical skills
- Ability to work independently
- Time management and flexibility; able to prioritize
- 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
- Highly motivated
- Confident and resourceful in problem solving
Benefits:
We love what we do and we’re on a path for growth. Compliance Exchange Group is comprised of professionals that exhibit a passion for building and maintaining broker-dealers. We offer a fully remote work environment with a company culture that promotes personal and professional development as well as a healthy work-life balance. We provide an array of benefits including competitive compensation, flexible work schedules, PTO, 401K, dental, vision, performance-based bonuses, opportunities for growth and more!
This is a remote position.