Benefits:

Bonus based on performance

Flexible schedule

Opportunity for advancement

Paid time off

Training & development

Compliance Exchange Group (www.cxgllc.com) is seeking a Broker Dealer Compliance Officer for its group of companies. The CO will report directly to the firm’s Director of Operations.

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

This is a remote position.