Broker Dealer Compliance Officer Remote

We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses. This role will report to our Director of Growth and Operations.  

 

Compliance Exchange Group (CXG) is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. We are the architects charged with building successful firms for our clients. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators. 
 

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, 401(k) with employer contribution, performance-based bonuses, opportunities for growth and more! 

This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour