BrokerDealer CEO/President

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 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
We love what we do and we’re on a path for growth. Compliance Exchange Group is comprised of professionals that exhibit a passion for building and maintaining broker-dealers. We offer a fully remote work environment with a company culture that promotes personal and professional development as well as a healthy work-life balance. We provide an array of benefits including competitive compensation, flexible work schedules, PTO, 401K with employer matching, performance-based bonuses, opportunities for growth and more 

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