Compliance Exchange Group (CXG) is a top-tier principal outsourcing, and full-service compliance firm, servicing FINRA regulated Broker-Dealers across the U.S. We are one of the few firms that provide fully outsourced principal solutions, in addition to regulatory consulting, CCO & FinOp outsourcing, and CMA – 1017 services. A true engine for growth, CXG serves Broker-Dealers, removing barriers to growth, putting our clients in the lead.
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More 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. At CXG we live up to the label, we outsource the complete range of compliance & finance Principals, including:
- Chief Compliance Officers
- FinOps
- Licensed Principals
- Series 4 – Registered Options
- Series 24 – General Securities
- Series 79 – Investment Banking
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.