Title: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)
Location: Smithtown, NY (In-Office)
CXG is seeking a detail-oriented Compliance Analyst to support the formation and ongoing operations of Finra & SEC regulated broker-dealers.
This role works directly with the Director of Operations and senior leadership to prepare and manage FINRA and SEC filings, coordinate regulatory processes, and support client engagements. This is a unique opportunity to gain hands-on experience building broker-dealers and working directly with regulators in a fast-growing consulting firm.
What You’ll Do
- Assist in preparing and managing FINRA New Member Applications (CMA process)
- Coordinate with FINRA, SEC, and state regulators
- Draft, review, and format regulatory filings and supporting documents
- Assist in drafting corporate documents, including resolutions and related materials
- Track application progress and maintain compliance timelines
- Support internal legal and compliance teams
- Organize and maintain documents in cloud-based systems
- Communicate with clients and internal stakeholders on a daily basis
- Work with in-house attorney's on legal tasks
Qualifications
- Bachelor’s degree
- 1–3 years experience in legal, compliance, financial services, or similar field
- Paralegal experience or legal support background preferred
- Experience drafting corporate documents (resolutions, agreements, etc.) is a plus
- Strong attention to detail and organizational skills
- Excellent writing and document formatting skills (Microsoft Word proficiency required)
- Ability to manage multiple projects simultaneously
- Strong communication skills and comfort working with senior professionals
Nice to Have (Not Required)
- Exposure to FINRA, SEC, or other regulators
- Interest in broker-dealers or financial services
- Experience with regulatory filings or structured documentation
Tools
- Microsoft Word (advanced formatting required)
- Excel, Outlook
- OneDrive or similar cloud-based document systems
Why Join CXG
- Direct exposure to FINRA and SEC processes
- Clear path to grow into senior compliance & legal roles
- Work closely with experienced leadership
- Fast-paced, high-growth environment
Compensation & Benefits
- Salary: $60,000 – $70,000 (based on experience)
- Performance-based bonuses
- PTO
- Health, dental, and vision benefits
This is a full-time, in-office position based in Smithtown, NY (Monday–Friday, 40 hours per week).
This role is ideal for someone highly organized, detail-oriented, and interested in building a long-term career in financial services, compliance, and regulatory operations.
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
- Chief Compliance Officers
- FINOPs
- Licensed Principals
- Series 4 – Registered Options
- Series 24 – General Securities
- Series 79 – Investment Banking
CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication — both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.