Broker-Dealer Compliance Analyst (Paralegal Background)
$60k - $70kCXG Holdings Inc
CXG Holdings Inc is looking for a Compliance Analyst in Smithtown, NY, to support regulatory compliance for broker-dealers. Responsibilities include preparing FINRA applications, coordinating with regulators, drafting documents, and maintaining compliance timelines. The ideal candidate has a Bachelor’s degree, 1–3 years of experience in legal or compliance fields, and strong attention to detail. The position offers a salary range of $60,000 to $70,000 based on experience, along with performance bonuses and benefits such as dental insurance and a flexible schedule. #J-18808-Ljbffr
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Broker-Dealer Compliance Analyst (Paralegal Background) in Smithtown, NY vacancy
$60k - $70k
...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 ( CXG is seeking a detail-oriented Paralegal...SuggestedFull timeWork at officeMonday to FridayFlexible hoursCXG Holdings Inc
Smithtown, NY1 day ago$150k - $175k
CXG Holdings Inc is seeking a Managing Director / Broker-Dealer Services to join its leadership team in Smithtown, New York. This position... ...professionals. Candidates with a strong broker-dealer background are encouraged to apply for this unique opportunity. #J-1880...Suggested$200k
...Senior Sales Executive Broker-Dealer Advisory Compliance Exchange Group (CXG) is a nationally recognized leader in broker-dealer formation and regulatory advisory. We work directly with founders and financial professionals entering the capital markets industry and...SuggestedFull timeWork at office$40 - $60 per hour
...development ~ Vision insurance We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess...SuggestedRemote jobHourly payFlexible hours- ...CXG Holdings Inc in Smithtown, NY is seeking a Managing Director for Broker-Dealer Services. The ideal candidate will have extensive broker-dealer experience and will provide executive oversight, regulatory guidance, and strategic direction. This full-time, in-person role...SuggestedFull time
CXG Holdings Inc
Smithtown, NY1 day ago - ...to engage with high-value advisory clients. The ideal candidate will have experience in B2B consultative selling or be a former broker-dealer professional with strong knowledge of regulatory frameworks. Responsibilities include managing discovery calls, pipeline management...Remote job
$150k - $175k
...insurance Parental leave Vision insurance Managing Director / Broker-Dealer Services Location: Smithtown, NY (In-Person) Employment Type... ...+ Performance Bonus + Long-Term Growth Opportunity About Compliance Exchange Group Compliance Exchange Group (CXG) is one of the...Full timeWork at officeFlexible hours$83.72k
...homeland security. We currently have a vacancy for a Supervisory Paralegal. In this role, you will be supporting the overall mission of... ...requires U.S. Citizenship and a 7 (or 10) year minimum background investigation. Agency Overview TheUnited StatesAttorney's Office...Full timeContract workTemporary workWork at officeLocal areaRemote workFSA Federal
Central Islip, NY12 days ago- ...seeking a passionate Digital Marketing Expert to enhance automotive dealer performance via strategic consulting and best practices. You... ...digital platforms. Ideal candidates have a strong automotive background, excellent organizational abilities, and are ready for extensive...Shift work
$50k - $150k
...production to the next level with real technology, real training, and real support? Apply now with your resume and a brief note about your mortgage background. We look forward to hearing from you. Silver Lining Funding is an Equal Opportunity Employer....Full timeWork at officeRemote workFlexible hoursSilver Lining Funding Inc
Hauppauge, NY3 days ago- ...New Car Dealer Dmv Biller Come join our team and be part of one of the region's largest family owned Dealership Groups. Nissan of Smithtown is looking for Accounting Office Personnel! Be part of one of the industries best performing brands, in a store and group that...Work at office
$50k
...Responsible for issuing all disclosures in a timely fashion to meet all compliance and TRID regulations Input and validate data in Salesforce... ...by applicable law. All candidates will be subject to a background check, credit check, and drug test to determine employment...Full timePart timeImmediate startTeachers Federal Credit Union
Hauppauge, NY9 hours ago- ...neighborhood amenities. Guide prospects through the leasing process, including applications, background, and credit checks. Prepare and execute lease agreements, ensuring accuracy and compliance. Manage move-in logistics, including scheduling, creating move-in packets, and...Work at office
Heatherwood
Central Islip, NY4 days ago $95k - $105k
...Does this sound like you? About The Role As a digital marketing expert resource, you will work directly with our client and their dealers to implement industry leading digital best practices through in-person consultations, training, data analysis, videos, and webinars...Full timeWork experience placementShift work- ...Comptroller in accordance with NYS Civil Service Law, OSC Payroll rules and regulations and negotiated union contracts. For more salary information please visit Some positions may require additional credentials or a background check to verify your identity. StateJobsNYPermanent employmentFull timeTraineeshipWork at officeRelocationRelocation package
$70k - $85k
Benefits: 401(k) 401(k) matching Dental insurance Health insurance Vision insurance Responsibilities include: Draft pleadings. Draft letters. Prepare various documents to be filed with the Note of Issue documents. Draft statements of net worth...Matrimonial and Family Law Firm
Hauppauge, NY4 days ago- ...Job Description If you're interested in the law and the legal profession, become an Army National Guard Paralegal, you will assist judges, Army lawyers, and unit commanders with legal matters and judicial work. The Paralegal Specialist provides legal and administrative...Contract workPart timeLocal areaWeekend work
National Guard OMD
Ronkonkoma, NY3 days ago - ...and retain a portfolio of workers' compensation clients. Ensure compliance with state workers' compensation laws and reporting... ...note that your candidacy is subject to clearing of the required background check and agreeing to/signing confidentiality requirements. Salary...Part timeWork at office
- ...Job Description Job Description Job Summary We are seeking a skilled and experienced Paralegal to support our team. This is a part time position- three (3) days per week. Our firm concentrates on estate planning, real estate matters and professional malpractice...Part timeWork at office3 days per week
Law Office of Joel J. Ziegler
Smithtown, NY3 days ago - ...New Car Dealer Front Desk Receptionist Nissan of Smithtown is looking for a Receptionist! You will be the first point of contact with our customers. We know that the front line team members see more customers per day than our best Sales and Service Consultants! It...Shift work
$110k - $140k
...support insurance business development through excellent client service and relationship management. The ideal candidate will have a background in insurance asset management, strong communication skills, and the ability to work collaboratively. A competitive salary range...Flexible hoursFirst Eagle Investment Management
Central Islip, NY4 days ago- Our client is seeking an Estate Administration Paralegal to join its legal team. Working out of Smithtown, NY or Melville, NY, he/she will assist attorneys in all aspects of estate and trust administration, including probate proceedings, asset collection, and distribution...Work at office
$70k - $90k
A legal firm is seeking an experienced Estate Administration Paralegal to support attorneys in Smithtown or Melville, NY. The role involves managing probate proceedings, asset collection, and preparing estate tax returns. The ideal candidate has 3+ years of experience in...Work at office$70k - $90k
A legal recruiting firm is seeking an experienced Estate Administration Paralegal to support its legal team. The role involves preparing probate documents, communicating with clients, and managing estate tax returns. Candidates should have a Bachelor's or Paralegal Certificate...$72k - $90k
...Transportation Compliance Coordinator The Transportation Compliance Coordinator is responsible for ensuring the company's full compliance... ...for previous employment verification and other regulatory background checks as required. Enhance the company's positive image...For contractorsCasual workLocal areaFreightTAS
Smithtown, NY2 days ago$135k - $210k
...opportunities to advance. Requirements 4+ years of casualty defense experience Premises, auto, Labor Law 240 and/or general liability background Trial experience preferred NY bar admission in good standing Strong writing and communication skills Interested candidates should...Permanent employmentTemporary workWork at officeLocal areaImmediate startWork from homeFlexible hoursAustralia-Employment
Smithtown, NY4 days ago$70k - $90k
Markent Personnel is seeking an Estate Administration Paralegal to join its legal team, working out of Smithtown or Melville, NY. The role involves assisting attorneys with estate and trust administration, including probate proceedings and asset distribution. The ideal...Work at office- A legal services provider is seeking an Estate Administration Paralegal to assist attorneys with estate and trust administration in the Smithtown area. This role involves preparing legal documents, managing estate assets, and communicating with clients. Candidates should...
- ...The Finance team from the Sisters of St. Joseph of Brentwood are looking for an attorney or paralegal who could serve in a volunteer capacity and who has experience in Real Estate and reviewing contracts and agreements. Days and times would be flexible to suit your schedule...Flexible hours
Sisters of St. Joseph of Brentwood
Brentwood, NY3 days ago - ...and retain a portfolio of workers’ compensation clients. Ensure compliance with state workers’ compensation laws and reporting... ...note that your candidacy is subject to clearing of the required background check and agreeing to/signing confidentiality requirements. Salary...Full timePart timeWork experience placementWork at officeWorldwideFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker-Dealer Compliance Analyst (Paralegal Background). Be the first to apply!
Related searches
- logistics broker Smithtown, NY
- energy broker Smithtown, NY
- sales broker Smithtown, NY
- business broker Smithtown, NY
- managing broker Smithtown, NY
- transportation broker Smithtown, NY
- regulatory compliance Smithtown, NY
- regulatory affairs Smithtown, NY
- compliance team leader Smithtown, NY
- regulatory affairs assistant Smithtown, NY