Regulatory Compliance Associate
$60k - $70kCXG Holdings Inc
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: Regulatory Compliance Associate
Location: Smithtown, NY (In-Office)
Company: CXG (
CXG is seeking a Regulatory Compliance Associate to support broker-dealer and investment adviser regulatory filings, licensing applications, and corporate governance projects.
This position works directly with senior leadership and legal professionals to prepare regulatory submissions, coordinate licensing applications, manage compliance documentation, and support interactions with FINRA, the SEC, state regulators, and other industry stakeholders.
The ideal candidate has experience working within a broker-dealer, registered investment adviser, compliance consulting firm, or securities law practice and is interested in building expertise in financial services regulation and corporate transactions.
Preferred Experience
Experience working for a broker-dealer, investment adviser, compliance consulting firm, securities law firm, or financial services organization
Familiarity with FINRA, SEC, and state securities regulatory frameworks
Experience supporting regulatory filings, licensing applications, registrations, or corporate governance matters
Exposure to FINRA Continuing Membership Applications (CMAs), New Member Applications (NMAs), Form BD amendments, U4/U5 filings, or similar regulatory processes
Strong document drafting, project management, and organizational skills
Ability to manage multiple concurrent regulatory projects and deadlines
What You’ll Do
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
3–5 years experience in legal, compliance, or similar field
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
Tools
MS Office
OneDrive or similar cloud-based document systems
Why Join CXG
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.
$60k - $70k
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