Job Description

Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Compliance Specialist (FINRA SERIES 7 & 24) for its group of companies. The Compliance Specialist will report directly to the firm’s Chief Compliance Officer.

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 Compliance Specialist is expected to add value, work efficiently and constantly strive to improve team performance throughout their function.

This is a remote role working from home. The Compliance Specialist will be required to attend daily Zoom and/or phone calls with various staff to communicate with the office 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

QUALIFICATIONS

• Bachelor’s degree or equivalent required

• 4+ years prior Broker Dealer compliance experience

• FINRA SERIES 7 & 24 REQUIRED

• FINRA Series 4, 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

• 100% remote

• Flexible Schedule

• Full-Time 1099 Contractor

• Bonus’ offered for outstanding performance

• Substantial opportunity to increase compensation and grow during 1st year for the right person