Broker-Dealer Chief Executive Officer

Job overview

The Broker-Dealer Chief Executive Officer role is onsite in Smithtown, NY, and offers a base salary of $150,000–$175,000 per year plus a performance bonus. CXG provides broker-dealer consulting, executive leadership, compliance management, and operational support. The executive provides strategic direction, regulatory oversight, and operational leadership for broker-dealer operations and organizations supported by the firm. The role works with owners, senior management, regulators, attorneys, and industry professionals to support compliance, business growth, and operational effectiveness.

What you'll do

• Provide executive leadership and strategic direction
• participate in business planning and organizational development
• serve in CEO and/or Chief Compliance Officer capacities where appropriate
• advise owners and management
• interact with FINRA, SEC, state regulators, auditors, and legal counsel
• oversee compliance programs and risk management
• supervise principals and support staff
• review operational changes
• build client and industry relationships
• contribute to business development.

What we're looking for

Skills & competencies

broker-dealer ceo

chief executive officer

smithtown ny

cxg holdings

broker-dealer operations

finra

sec compliance

regulatory oversight

executive leadership

$150k–$175k

performance bonus

401(k) match

Work arrangement

• Weekend coverage required

Benefits & perks

• Performance-based bonus opportunities
• paid time off
• training and development
• 401(k) and matching
• dental and vision insurance
• parental leave
• advancement opportunities.

Why this role

Requires active FINRA Series 24 and Series 7 licenses, seven or more years of broker-dealer experience, and three or more years in an executive leadership role. The posting also lists a performance-based bonus and long-term growth opportunity.

About the employer

CXG Holdings Inc is hiring for this role. Industry: All Other Professional, Scientific, and Technical Services. Sector: 54.