Regulatory Broker Dealer Attorney
- $80,000 to $120,000 Yearly
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.
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
Coordinating with executives for work being performed on behalf of clients as well as team collaboration
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.
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:
40+ hours per week
Bonus’ offered for outstanding performance
We create a positive atmosphere that encourages everyone to excel in what they do
CXG (www.cxgllc.com) 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.
Compliance Exchange GroupCharlotte, NC
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