Broker-Dealer CEO

Job Description

Job Description

Broker-Dealer CEO

Location: Smithtown, NY (In-Person)

Employment Type: Full-Time

Compensation: $150,000 – $175,000 Base Salary + Performance Bonus + Long-Term Growth Opportunity

About Compliance Exchange Group

Compliance Exchange Group (CXG) is one of the nation's leading broker-dealer consulting, executive leadership, and compliance firms. For more than a decade, we have helped broker-dealers launch, operate, and grow through executive leadership, regulatory expertise, compliance management, and operational support.

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker-dealer formation, executive management, and regulatory success.

As our firm continues to expand, we are seeking an experienced broker-dealer executive to join our leadership team at our Smithtown, New York headquarters.

Position Overview

The Managing Director will play a key leadership role within CXG and the broker-dealer organizations we support.

The successful candidate will provide executive oversight, regulatory guidance, operational leadership, and strategic direction while working closely with senior management, regulators, attorneys, and industry professionals.

This is a long-term leadership opportunity for an individual who enjoys building organizations, solving complex regulatory and operational challenges, and making a meaningful impact on the growth and success of financial services firms.

Responsibilities

Executive Leadership

• Provide executive leadership and strategic direction for broker-dealer operations.
• Participate in business planning, growth initiatives, and organizational development.
• Serve in senior executive capacities, including CEO and/or Chief Compliance Officer functions where appropriate.
• Advise firm owners and executive management on operational, regulatory, and strategic matters.
• Participate in executive meetings, board meetings, and strategic planning sessions.

Regulatory & Compliance Oversight

• Maintain direct interaction with FINRA, SEC, state regulators, auditors, and legal counsel.
• Participate in regulatory examinations, inquiries, and audits.
• Oversee supervisory systems, compliance programs, and risk management initiatives.
• Ensure adherence to applicable FINRA, SEC, and state regulatory requirements.
• Assist with regulatory filings, business changes, and strategic growth initiatives.

Operational Management

• Supervise registered principals, compliance professionals, operations personnel, and support staff.
• Review and approve operational changes, new business activities, and strategic initiatives.
• Help improve operational efficiency and regulatory readiness.
• Collaborate with internal teams to support organizational and client success.

Business Development & Relationship Management

• Build and maintain strong relationships with clients, regulators, attorneys, and industry professionals.
• Represent the firm at industry events, conferences, and networking opportunities.
• Identify opportunities to strengthen client relationships and support firm growth.
• Contribute to business development initiatives and strategic expansion efforts.

Qualifications

Required

• Active FINRA Series 24 License.
• Active FINRA Series 7 License.
• 7+ years of broker-dealer industry experience.
• 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive position.
• Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations.
• Experience interacting directly with regulators and managing examinations.
• Strong leadership, communication, and organizational skills.
• Ability to work full-time from our Smithtown, New York office.

Preferred

• MBA or advanced business degree.
• Previous broker-dealer CEO experience.
• Previous Chief Compliance Officer experience.
• Experience with startup broker-dealers.
• Experience with FINRA Rule 1017 filings and material business changes.
• Additional FINRA licenses including Series 4, 27, 53, or 79.
• RIA experience.
• Experience with mergers, acquisitions, or strategic transactions.

What We Offer

• Competitive compensation package.
• Performance-based bonus opportunities.
• Long-term career growth within an expanding organization.
• Meaningful executive leadership responsibilities.
• Direct exposure to broker-dealer owners, regulators, and industry leaders.
• Opportunity to build a high-impact career while remaining on Long Island.
• Collaborative, entrepreneurial, and growth-oriented culture.
• Opportunity to work alongside some of the most experienced broker-dealer professionals in the industry.

If you are an experienced broker-dealer professional seeking a leadership role with significant responsibility, growth potential, and long-term opportunity, we encourage you to apply.