Job Description

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 Operations Manager.

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

This is full-time remote position. The Finop will be required to attend daily Zoom and/or phone calls with various staff to communicate with the office and clients.

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

HOURS AND BENEFITS

• 100% remote

• Full-time

Company Description

CXG (www.cxgllc.com) 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.