Regulatory Broker Dealer Attorney

Position Overview:

CXG (www.cxgllc.com) is seeking an experienced Regulatory Attorney for its group of companies. The Attorney will work with and report directly to the Firm’s Director of Operations.

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 Attorney will perform diverse duties providing support for the company and the firm’s legal team and interact daily with clients and staff. The Attorney is expected to add value, work efficiently and constantly strive to improve team performance thought their function and addition to the team.

This is a remote role working from home. The Attorney will be required to attend daily Zoom and/or phone calls with various staff to communicate with the office and clients.

Job Duties:

• Interacting with FINRA & SEC for client CMA applications

• Working with various US state regulators

• Drafting, negotiating M&A contracts and acquisition processes

• Managing/Supporting various internal legal staff

Project Management:

• Coordinating with executives for work being performed on behalf of clients as well as team collaboration

• Reviewing/editing/proofing documents

• Formatting word documents; PDF creation, filing and organizing files in cloud server

• Experience in Microsoft Word is a must; proper formatting of word documents (Proficiency in Word highly desired)

• Competent in Microsoft One Drive, One Note is a plus.

• Competent in Microsoft Excel and Powerpoint is a plus.

• The Attorney should understand and have the ability to interface in Outlook.

Required Qualifications:

• Juris Doctor required

• 5+ years relevant experience

• CMA-1017 experience required

• Must have experience with FINRA and/or SROs

• Research skills and techniques

• Proven ability to manage multiple calendars and projects at one time

• Ability to read and understand basic financial data, legal contracts and third-party communication.

• Ability to engage with Executive Level Management

• Excellent written and verbal communication skills

• Exercises sound judgment, discretion, and confidentiality in all matters involved in this job

• Takes initiative and works independently on routine as well as more complex and miscellaneous matters.

• Confident and resourceful in problem solving, promptly escalating matters where necessary.

• Consistently demonstrate value add to the firm and exceed expectations.

• Demonstrated ability to follow through with tasks and communicate interim details with team members.

Hours and Benefits:

Monday-Friday

• 40+ hours per week

• Bonus’ offered for outstanding performance

• 100% remote