Associate Attorney – Regulatory Consulting
Compliance Exchange Group (CXG)
Smithtown, NY | Full-Time | In-Office
Base Salary: $120,000–$140,000 annually, depending on experience and qualifications
Compliance Exchange Group is seeking an experienced attorney for a client-facing regulatory consulting position in our main office in Smithtown, Long Island. We are looking for an associate-level professional with approximately 5–10 years of experience who takes ownership of client matters, communicates clearly, and follows through.
We value the research, writing, judgment, client service, and billing discipline developed through legal practice. At CXG, you’ll apply those skills to managing client engagements, regulatory applications, and complex business matters. Prior securities-law, FINRA, or broker-dealer experience is helpful, but is not required.
This position is full-time and in-office in Smithtown, New York, Monday through Friday. It is not remote or hybrid.
About CXG
CXG helps broker-dealers and financial-services businesses navigate regulatory applications, ownership changes, business expansions, and related compliance projects. Our work requires careful research, organized documentation, responsive communication, and consistent attention to each client’s objectives.
You will work closely with company leadership and our regulatory team to move client engagements forward from initial information gathering through completion.
What You’ll Do
- Take ownership of client engagements, including project plans, deadlines, outstanding requests, and follow-up.
- Maintain clear, proactive communication so clients understand progress, responsibilities, and next steps.
- Research regulatory requirements and help prepare FINRA Continuing Membership Applications (CMAs), responses to information requests, and supporting documentation with the CXG team.
- Review, organize, edit, and proofread client documents, correspondence, and application materials.
- Coordinate with clients, internal specialists, outside professionals, and regulatory contacts as appropriate.
- Track time accurately and prepare clear, complete billing descriptions reflecting the services performed.
- Recognize missing information and potential obstacles early, escalate when necessary, and follow matters through to resolution.
- Maintain organized electronic files and reliable project-status records.
What We’re Looking For
- A Juris Doctor degree and at least five years of experience as an attorney. Approximately 5–10 years is the target; candidates with additional experience are welcome.
- Demonstrated responsibility for client relationships and managing multiple matters or projects.
- Strong research, analytical, writing, and document-review skills.
- Experience with timekeeping, billing narratives, and accountability for client work.
- Sound judgment, discretion, attention to detail, and dependable follow-through.
- Proficiency with Microsoft Word, Outlook, and electronic document management.
- Ability to work in person at our Smithtown office, Monday through Friday.
Experience with FINRA, broker-dealer compliance, securities regulation, financial services, corporate transactions, or regulatory applications is a plus, not a prerequisite. Attorneys from other practice areas are encouraged to apply if they bring strong client-service and matter-management skills and an interest in learning this field.
Compensation and Opportunity
- Base salary of $120,000–$140,000 annually, depending on experience and qualifications.
- Paid time off.
- Bonus opportunities.
- Direct collaboration with company leadership.
- Exposure to specialized financial-services regulatory work and opportunities to take on greater responsibility.
How to Apply
Apply through this posting with your résumé. Briefly describe your experience managing client matters, communicating with clients, and tracking time for billing, along with your interest in an in-office regulatory consulting role.
CXG is an equal opportunity employer.
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
- Chief Compliance Officers
- FINOPs
- Licensed Principals
- Series 4 – Registered Options
- Series 24 – General Securities
- Series 79 – Investment Banking
CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication — both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.