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.
Broker Dealer Compliance Officer
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.
📋 Description
• Provide regulatory compliance services to client broker-dealers • Establish processes for compliance • Work with Director of Growth and Operations
🎯 Requirements
• Prior experience in compliance • Active FINRA Series 7 & 24 licenses
🏖️ Benefits
• 401(k) • Dental insurance • Flexible schedule • Opportunity for advancement • Paid time off • Parental leave • Training & development • Vision insurance
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