About Us

About CXG

Compliance Exchange Group operates at the vanguard of broker-dealer consulting and Chief Compliance Officer outsourcing providers. Others claim to be “full service” while only hosting limited capabilities, where CXG lives up to the label: we outsource the complete range of compliance & finance Principals, including CCOs, FINOPs, Series 4, Series 24, and Series 79 license holders.

Another reason our services stand head-and-shoulders above others is our roster of seasoned, highly experienced talent. Our Principals have built and developed investment banks and trading rooms, they have created broker-dealers from scratch. They’ve also held CEO, CFO, CCO, FINOP, and Board roles at a variety of organizations, so they know the ins and outs of how businesses grow efficiently and effectively.

Our superior talent and practical experience are why start-ups seeking FINRA approval and small- to mid-size firms looking to grow trust us to supply them with outsourcing solutions that work.

Want to Find Out More?

Contact us to discuss what CXG can do for your firm. We look forward to helping you explore new opportunities and achieve your strategic goals.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

When I first started the firm, I was the CCO. Then I hired someone as we grew. They weren’t the best, but I knew that and our sales couldn’t justify hiring a top tier guy. Compliance Exchange opened my eyes to some real solutions. With their CCO program, we have real help and I can focus on growing our business. These guys are fantastic!

NY Broker-Dealer
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