Compliance Analyst Paralegal
CXG Holdings Inc, Smithtown, NY, United States
Benefits
401(k) matching
Bonus based on performance
Competitive salary
Dental insurance
Flexible schedule
Opportunity for advancement
Paid time off
Parental leave
Training & development
Vision insurance
Title: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)
Location: Smithtown, NY (In-Office)
Company: CXG (www.cxgllc.com)
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 documentsAssist 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 tasks
Qualifications
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 professionals
Nice to Have (Not Required)
Exposure to FINRA, SEC, or other regulators
Interest in broker‑dealers or financial services
Experience with regulatory filings or structured documentation
Tools
Microsoft Word (advanced formatting required)
Excel, Outlook
OneDrive or similar cloud‑based document systems
Why 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 environment
Compensation & Benefits
Salary: $60,000 – $70,000 (based on experience)
Performance‑based bonuses
PTO
Health, dental, and vision benefits
This 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.
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401(k) matching
Bonus based on performance
Competitive salary
Dental insurance
Flexible schedule
Opportunity for advancement
Paid time off
Parental leave
Training & development
Vision insurance
Title: Compliance Analyst (Broker-Dealer / Paralegal Background Preferred)
Location: Smithtown, NY (In-Office)
Company: CXG (www.cxgllc.com)
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 documentsAssist 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 tasks
Qualifications
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 professionals
Nice to Have (Not Required)
Exposure to FINRA, SEC, or other regulators
Interest in broker‑dealers or financial services
Experience with regulatory filings or structured documentation
Tools
Microsoft Word (advanced formatting required)
Excel, Outlook
OneDrive or similar cloud‑based document systems
Why 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 environment
Compensation & Benefits
Salary: $60,000 – $70,000 (based on experience)
Performance‑based bonuses
PTO
Health, dental, and vision benefits
This 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.
#J-18808-Ljbffr