Principal – Series 24

Series 24 Principal Outsourcing | Compliance Exchange Group

Series 24 Principal Outsourcing

If you’re like many small to mid-size firms looking to grow, you struggle with a difficult Catch-22. You need a Series 24 General Securities Principal to seize new opportunities to expand your reach, but you’re not big enough to staff the position in-house; the scaling challenges and costs are too much. So how do you grow, so that you can REALLY grow? The answer is, with Series 24 outsourcing.

General Securities Principal

Compliance Exchange Group has the solution: Outsource a Series 24 General Securities Principal. Costs to outsource your compliance functions are a fraction of what you pay compared to in-house. It also eliminates the trap of using a non-specialized person to manage compliance when a seasoned executive should be at the helm: Outsourcing a dedicated compliance resource reduces risk, cancels resource bottlenecks, and delivers better results. Your firm can again focus on revenue and growth.

Series 24 Principal Responsibilities

CXG has experienced, highly talented Series 24 resources to help you meet compliance obligations for Investment Banking, clearing trades, managing personnel, solicitation, or to conduct general business. We are one of the only Series 24 outsourcing providers, anywhere.

Book an appointment with one of our highly trained professionals to discuss your principal outsourcing and compliance requirements.

Or call us at 631-595-5305.

Disclaimer: The information provided on this website is for general informational purposes only. It is not intended to constitute legal advice or to substitute for the advice of a qualified legal professional. We make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability, or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. It is advisable to seek the advice of a qualified legal professional regarding your specific legal situation or questions.