Compliance Analyst

Benefits

• 401(k) matching
• Bonus based on performance
• Competitive salary
• Dental insurance
• Flexible schedule
• Opportunity for advancement
• Paid time off
• Parental leave
• Training & development
• Vision insurance

Title

Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)

Location

Smithtown, NY (In-Office)

Company

CXG ( www.cxgllc.com )

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.

Compensation

$60,000.00 - $70,000.00 per year

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.