Address
Form of work
SalaryBenefits:
Compliance Exchange Group (www.cxgllc.com) is seeking a Broker Dealer Compliance Officer for its group of companies. The CO will report directly to the firm’s Director of Operations.
We require a well-organized, self-motivated individual that is interested in a long-term opportunity to grow with a successful consulting and investment firm. The CO is expected to add value, work efficiently and constantly strive to improve team performance throughout their function.
This is full-time remote position. The CO will be required to attend daily Zoom and/or phone calls with various staff to communicate with the CXG staff and clients.
Responsibilities
- Bonus based on performance
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Training & development
Compliance Exchange Group (www.cxgllc.com) is seeking a Broker Dealer Compliance Officer for its group of companies. The CO will report directly to the firm’s Director of Operations.
We require a well-organized, self-motivated individual that is interested in a long-term opportunity to grow with a successful consulting and investment firm. The CO is expected to add value, work efficiently and constantly strive to improve team performance throughout their function.
This is full-time remote position. The CO will be required to attend daily Zoom and/or phone calls with various staff to communicate with the CXG staff and clients.
Responsibilities
- Coordinate with Compliance team 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
- Contribute to organizational learning by leading, mentoring and coaching
- Continually improve compliance program for relevant entity
- Identify and react to changes in regulatory requirements
- Ensure that business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
- Lead ongoing risk assessments of compliance policies and procedures.
- Support the preparation of quarterly and annual compliance reports.
- Coordinate annual and periodic regulatory filings.
- Bachelor’s degree is required
- 1+ year prior Broker Dealer compliance experience
- FINRA Series 7 & 24 required
- FINRA Series 4 and 53 a plus
- Analytical skills
- Ability to work independently
- 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
- Takes initiative
- Confident and resourceful in problem solving
- Consistently demonstrates added value to the firm
- Full-time
- 100% remote
- $50,000-60,000 annually
This is a remote position.
