Compliance Analyst Paralegal
hace 20 días
Smithtown
Job DescriptionTitle: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred) Location: Smithtown, NY (In-Office) Company: CXG () 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 tasksQualifications, • 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 professionalsNice to Have (Not Required), • Exposure to FINRA, SEC, or other regulators, • Interest in broker-dealers or financial services, • Experience with regulatory filings or structured documentationTools, • Microsoft Word (advanced formatting required), • Excel, Outlook, • OneDrive or similar cloud-based document systemsWhy 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 environmentCompensation & Benefits, • Salary: $60,000 – $70,000 (based on experience), • Performance-based bonuses, • PTO, • Health, dental, and vision benefitsThis 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.