Benefits:
- 401(k)
- 401(k) matching
- Bonus based on performance
- Competitive salary
- Flexible schedule
- Opportunity for advancement
- Paid time off
- Parental leave
- Training & development
- Tuition assistance
- Vision insurance
Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Chief Executive Officer (CEO) for its broker-dealer.
CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U.S. We are one of the few firms that provide fully outsourced principal solutions, in addition to regulatory consulting, CCO & FINOP outsourcing, and CMA - 1017 services. A true engine for growth, CXG serves broker-dealers, removing barriers to growth, putting our clients in the lead.
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 CEO is expected to add value, work efficiently, and constantly strive to improve team performance throughout their function.
This is a fully remote contract-to-hire position. The CEO will be required to attend daily video and/or phone calls with various staff to communicate with the office and clients.
Responsibilities:
- Supervise broker-dealers that service institutional, high-net worth, and/or retail clients that trade in private placements opportunities, equities, corporate/municipal bonds, ETFs/mutual funds, options, and margin accounts to ensure the broker-dealer adheres to all Securities and Exchange Commission (SEC), as well as Financial Industry Regulatory Authority (FINRA) rules and regulations.
- Manage all broker-dealer employees to include Chief Compliance Officers, Financial Operations Principals, registered representatives and other back-office personnel and functions.
- Manage associated broker-dealer offices of supervisory jurisdiction and/or other branches.
- Lead start-up companies; establishing the business model, strategic direction, financial model, technology infrastructure and operational processes.
- Work with development teams to prepare Business Plan including development of market entry strategy and corporate infrastructures and operating plans.
- Interact with State and Federal regulators on behalf of clients.
- Provide daily operational and financial direction with direct supervision of accounting, business office, human resources, and individual specialty locations.
- Lead all activities of the broker-dealer including financial, operational, strategic planning, and quality and client satisfaction.
- Coordinate changes to bring facilities into regulatory compliance and promote transparency.
- Direct new business relationships and emerging market opportunities through strategic partnerships, mergers, acquisitions, and licensing arrangements.
- Direct operational aspects, including strategic partnering, product development, and expansion planning.
- Develop and execute business plans alongside professional partners to launch business providing highly customized solutions to clients.
- Direct the client's financial management through budgeting review and implementation of firm-wide quality assurance and program evaluation plans.
Requirements:
- MBA Required
- 10+ years' experience in financial services industry
- 5+ years' experience in supervisory position(s)
- Current FINRA Series 24 & 7 required
- FINRA Series 4, 53 and 79 preferred
- At least 12 months of BD CEO experience
- RIA experience preferred
Additional:
- Communication, leadership, and management skills
- Customer service skills
- Problem-solving and time management skills
This is a remote position.