Compliance Officer - part time remote for broker dealer
Part-Time Compliance Officer (Remote)
Firm: Xnergy Financial, LLC
Location: Remote
Type: Part-Time
About Us
Xnergy Financial is a FINRA-registered broker-dealer focused exclusively on private placements and mergers & acquisitions (M&A). We do not hold client funds, trade securities, or provide retail brokerage services.
Role Summary
We are seeking an experienced, detail-oriented FINRA registered Series 24 Compliance Officer to support the firm’s ongoing regulatory obligations. This role is ideal for a self-starter with a strong understanding of FINRA and SEC rules applicable to M&A advisory and private placements.
Key Responsibilities
• Assist in maintaining and updating the Written Supervisory Procedures (WSP)
• Conduct periodic reviews and testing to ensure compliance with applicable FINRA/SEC rules
• Monitor communications, deal documentation, and marketing materials for regulatory adherence
• Support AML and cybersecurity oversight and assist in annual compliance reviews (e.g., 3120, 3130)
• Track and help complete regulatory filings (e.g., Form BD amendments, U4/U5 maintenance)
• Liaise with FINRA during routine inquiries or examinations
• Ensure firm personnel are appropriately registered and trained
• Stay current on relevant rule changes and industry best practices
Qualifications
• Prior experience in a compliance role at a FINRA-member broker-dealer required
• Strong understanding of private placement rules (Reg D, Rule 144A) and M&A activity
• Experience with FINRA Gateway, Firm Element, and AML compliance preferred
• Series 24 required
• Exceptional organizational and communication skills
• Ability to work independently and remotely, with minimal supervision
Time Commitment
• Estimated: 10–15 hours per month, with flexibility based on firm activity and regulatory deadlines
Hourly or Monthly fixed compensation
Job Types: Part-time, Contract
Pay: $30.20 - $33.24 per hour
Experience:
• Broker dealer work: 5 years (Required)
License/Certification:
• Series 24 (Required)
Work Location: Remote
Apply Now
Apply Now
Firm: Xnergy Financial, LLC
Location: Remote
Type: Part-Time
About Us
Xnergy Financial is a FINRA-registered broker-dealer focused exclusively on private placements and mergers & acquisitions (M&A). We do not hold client funds, trade securities, or provide retail brokerage services.
Role Summary
We are seeking an experienced, detail-oriented FINRA registered Series 24 Compliance Officer to support the firm’s ongoing regulatory obligations. This role is ideal for a self-starter with a strong understanding of FINRA and SEC rules applicable to M&A advisory and private placements.
Key Responsibilities
• Assist in maintaining and updating the Written Supervisory Procedures (WSP)
• Conduct periodic reviews and testing to ensure compliance with applicable FINRA/SEC rules
• Monitor communications, deal documentation, and marketing materials for regulatory adherence
• Support AML and cybersecurity oversight and assist in annual compliance reviews (e.g., 3120, 3130)
• Track and help complete regulatory filings (e.g., Form BD amendments, U4/U5 maintenance)
• Liaise with FINRA during routine inquiries or examinations
• Ensure firm personnel are appropriately registered and trained
• Stay current on relevant rule changes and industry best practices
Qualifications
• Prior experience in a compliance role at a FINRA-member broker-dealer required
• Strong understanding of private placement rules (Reg D, Rule 144A) and M&A activity
• Experience with FINRA Gateway, Firm Element, and AML compliance preferred
• Series 24 required
• Exceptional organizational and communication skills
• Ability to work independently and remotely, with minimal supervision
Time Commitment
• Estimated: 10–15 hours per month, with flexibility based on firm activity and regulatory deadlines
Hourly or Monthly fixed compensation
Job Types: Part-time, Contract
Pay: $30.20 - $33.24 per hour
Experience:
• Broker dealer work: 5 years (Required)
License/Certification:
• Series 24 (Required)
Work Location: Remote
Apply Now
Apply Now