Title: Regulatory Compliance Associate
Location: Smithtown, NY (In-Office)
CXG is seeking a Regulatory Compliance Associate to support broker-dealer and investment adviser regulatory filings, licensing applications, and corporate governance projects.
This position works directly with senior leadership and legal professionals to prepare regulatory submissions, coordinate licensing applications, manage compliance documentation, and support interactions with FINRA, the SEC, state regulators, and other industry stakeholders.
The ideal candidate has experience working within a broker-dealer, registered investment adviser, compliance consulting firm, or securities law practice and is interested in building expertise in financial services regulation and corporate transactions.
Preferred Experience
- Experience working for a broker-dealer, investment adviser, compliance consulting firm, securities law firm, or financial services organization
- Familiarity with FINRA, SEC, and state securities regulatory frameworks
- Experience supporting regulatory filings, licensing applications, registrations, or corporate governance matters
- Exposure to FINRA Continuing Membership Applications (CMAs), New Member Applications (NMAs), Form BD amendments, U4/U5 filings, or similar regulatory processes
- Strong document drafting, project management, and organizational skills
- Ability to manage multiple concurrent regulatory projects and deadlines
What You’ll Do
- 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
- 3–5 years experience in legal, compliance, or similar field
- 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
Tools
- MS Office
- OneDrive or similar cloud-based document systems
Why Join CXG
- 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.