Broker Dealer Compliance Officer Remote

September 14, 2026

Benefits:

401(k)
Dental insurance
Flexible schedule
Opportunity for advancement
Paid time off
Parental leave
Training & development
Vision insurance

We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses. This role will report to our Director of Growth and Operations.

is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. We are the architects charged with building successful firms for our clients. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.

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, 401(k) with employer contribution, performance-based bonuses, opportunities for growth and more!

This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour

This is a remote position.

Compensation: $40.00 - $60.00 per hour

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.

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

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