Benefits:

401(k)

401(k) matching

Bonus based on performance

Competitive salary

Dental insurance

Flexible schedule

Opportunity for advancement

Paid time off

Parental leave

Training & development

Vision insurance

Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Finop for its group of companies. The Finop will report directly to the firm’s Director of growth and 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

Coordinating and preparing financial statements and annual audit reports

Coordinating and conducting firm audits

Assessment of current accounting operations, offering recommendations for improvement

Overseeing regulatory reporting and compliance

Researching technical accounting and broker-dealer specific guidance

Net Capital Compliance, FOCUS, SSOI, Form Custody, SIPC 6 &7 reports

FINRA examination support

Qualifications

FINRA Series 27 FINOP required

Bachelor’s degree in accounting, financial management or similar required

2+ years relevant experience

CPA a plus

Understanding of GAAP

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

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, dental, vision, performance-based bonuses, opportunities for growth and more!

This is a remote position.