Compliance Officer (Broker Dealer)

Job Description Job Description 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