Broker Dealer CEO

6 days ago

Selden, United States CXG Holdings Inc Full time
Job DescriptionJob DescriptionCompliance Exchange Group (www.cxgllc.com) is seeking an experienced Broker-Dealer Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firm’s Director of Operations.
 
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. 
Additional 

  • Communication, leadership, and management skills 
  • Customer service skills 
  • Problem-solving and time management skills 
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 

Benefits and Hours 

  • Part-time; Contract-to-Hire 
  • $90.00 per hour 
  • 100% remote 
  • Monday-Friday 
  • Increase in compensation and benefits if hired full-time 

  • Broker Dealer CEO

    2 weeks ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionBenefits:Bonus based on performanceFlexible scheduleOpportunity for advancementPaid time offTraining & developmentCompetitive salary Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Broker-Dealer Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firms Director...

  • President/CEO Start Up Broker Dealer

    2 weeks ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionCompliance Exchange Group (www.cxgllc.com) is seeking an experienced Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firms Director of Growth and Operations.CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across...

  • Broker Dealer Chief Executive Officer

    2 weeks ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionCompliance Exchange Group (www.cxgllc.com) is seeking an experienced Broker-Dealer Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firm’s Director of Growth and Operations.  CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated...

  • Broker Dealer Chief Executive Officer

    2 weeks ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionBenefits:Bonus based on performanceCompetitive salaryFlexible scheduleOpportunity for advancementPaid time offTraining & development Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Broker-Dealer Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firms Director...

  • BrokerDealer CEO/President

    4 days ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionCompliance Exchange Group (www.cxgllc.com) is seeking an experienced Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firm’s Director of Growth and Operations. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers...

  • BrokerDealer CEO/President

    4 days ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionCompliance Exchange Group (www.cxgllc.com) is seeking an experienced Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firm’s Director of Growth and Operations. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers...

  • BrokerDealer CEO/President

    2 days ago

    Selden, United States CXG Holdings Inc Full time

    Job DescriptionJob DescriptionBenefits:401(k)401(k) matchingBonus based on performanceFlexible scheduleOpportunity for advancementPaid time offTraining & development Compliance Exchange Group (www.cxgllc.com) is seeking an experienced Chief Executive Officer (CEO) for its start-up broker-dealer. The CEO will report directly to the firms Director of Growth...