Paralegal

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 Paralegal 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 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.

Compensation:

$60,000.00

• $70,000.

00 per year About CXG Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions. Our team includes experienced professionals serving in roles such as: Chief Compliance Officers FINOPs Licensed Principals Series 4

• Registered Options Series 24
• General Securities Series 79
• Investment Banking CXG professionals bring deep, practical experience.

Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow. We work with startups seeking FINRA approval as well as small

• to mid-sized firms looking to scale responsibly.

Our focus is on delivering solutions that are practical, collaborative, and built to last. At CXG, we value professionalism, integrity, and clear communication — both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.