Compliance Exchange Group (CXG)
Compliance • Finance • B2B
Compliance Exchange Group (CXG) is a compliance services firm specializing in broker-dealer support. They provide outsourced Chief Compliance Officer (CCO) and Financial Operations Principal (FinOp) solutions, help clients buy or start broker-dealers, assist with FINRA/Gateway registrations, CMA/1017 approvals, AML audits, and offer Series 24 and Series 79 principal services. CXG targets small to mid-size firms, offering turn-key, cost-efficient compliance, registration, and investment banking support to manage regulatory requirements and facilitate growth.
11 - 50 employees
Founded 2013
📋 Compliance
💸 Finance
🤝 B2B
Broker Dealer MAP Specialist
Job not on LinkedIn
October 29
Compliance Exchange Group (CXG)
Compliance • Finance • B2B
Compliance Exchange Group (CXG) is a compliance services firm specializing in broker-dealer support. They provide outsourced Chief Compliance Officer (CCO) and Financial Operations Principal (FinOp) solutions, help clients buy or start broker-dealers, assist with FINRA/Gateway registrations, CMA/1017 approvals, AML audits, and offer Series 24 and Series 79 principal services. CXG targets small to mid-size firms, offering turn-key, cost-efficient compliance, registration, and investment banking support to manage regulatory requirements and facilitate growth.
11 - 50 employees
Founded 2013
📋 Compliance
💸 Finance
🤝 B2B
📋 Description
• Providing corporate development and regulatory services to client broker-dealers • Reporting to the Operations Manager
🎯 Requirements
• Prior experience in the financial services industry • Experience in corporate development and regulatory services
🏖️ Benefits
• 401(k) • Bonus based on performance • Competitive salary • Dental insurance • Flexible schedule • Opportunity for advancement • Paid time off • Parental leave • Training & development • Vision insurance
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