Broker Dealer Attorney

CXG Holdings Inc

Selden, NY

$180,000 to $210,000 Yearly
Full-Time

Job Description

Compliance Exchange Group (cxgllc.com) is currently seeking a seasoned Broker Dealer Attorney to join our Acquisitions team. In this role, you'll be building broker-dealers for our clients, including managing transactions between broker-dealer (BD) buyers and sellers, advising clients to tailor their business objectives, overseeing corporate governance, and representing client interests to Federal and State regulators. The ideal candidate will possess prior CMA-1017 experience. This role will report directly to our Director of Growth and Operations.

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
2+ years relevant experience
CMA-1017 experience a plus
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.

Benefits:

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, 401K with employer matching, performance-based bonuses, opportunities for growth and more!