Compliance Exchange Group (CXG)
11 - 50 employees
Founded 2013
📋 Compliance
💸 Finance
🤝 B2B
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.
Financial Advisor – Business Development
Job not on LinkedIn
🕒 March 18
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Compliance Exchange Group (CXG)
11 - 50 employees
Founded 2013
📋 Compliance
💸 Finance
🤝 B2B
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
• Running structured discovery calls • Owning pipeline progression and deal velocity • Maintaining disciplined CRM reporting and forecasting • Closing sophisticated professional service engagements • Participating in weekly pipeline accountability reviews
🎯 Requirements
• A former broker-dealer professional with strong knowledge of FINRA/SEC regulatory frameworks or a proven B2B consultative closer with experience selling complex professional services. • Highly organized and process-driven • Comfortable operating within clear performance metrics • Confident in executive-level conversations • Competitive and internally motivated • Accountable for results, not activity alone.
🏖️ Benefits
• 401(k) matching • Bonus based on performance • Competitive salary • Dental insurance • Opportunity for advancement • Paid time off • Parental leave • Training & development • Vision insurance
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