Job Description

Benefits:

• 401(k) matching
• Bonus based on performance
• Competitive salary
• Dental insurance
• Opportunity for advancement
• Paid time off
• Parental leave
• Training & development
• Vision insurance

Senior Sales Executive Broker-Dealer Advisory

In-Office Suffolk County NY

Compliance Exchange Group (CXG) is a nationally recognized leader in broker-dealer formation and regulatory advisory. We work directly with founders and financial professionals entering the capital markets industry and provide comprehensive regulatory and principal outsourcing solutions.

We are hiring a performance-driven Sales Executive to close complex high-value advisory engagements within a structured accountability-focused environment.

This is not an entry-level position. This role is for a disciplined professional closer.

The Role

You will work directly with qualified prospects in a consultative sales environment involving executive-level financial conversations and multi-touch deal cycles.

You are responsible for:

• Running structured discovery calls
• Owning pipeline progression and deal velocity
• Maintaining disciplined CRM reporting and forecasting
• Closing sophisticated professional service engagements
• Participating in weekly pipeline accountability reviews

This is a full-time in-office position based in Suffolk County NY.

Who Were Looking For

Either:

• A former broker-dealer professional with strong knowledge of FINRA/SEC regulatory frameworks
  or
• A proven B2B consultative closer with experience selling complex professional services.

You must be:

• Highly organized and process-driven
• Comfortable operating within clear performance metrics
• Confident in executive-level conversations
• Competitive and internally motivated
• Accountable for results not activity alone

This is not a lifestyle sales role. It is a performance role with meaningful upside for serious producers.

Compensation

• Competitive base salary
• Performance-based commission structure
• High six-figure earning potential
• Top performers can exceed $200000 annually

Compensation details will be discussed during the interview process.

• 401(k) with employer contribution
• Paid time off
• Professional growth opportunities

Why CXG

• Established national leader in broker-dealer formation and regulatory advisory
• Respected reputation within the financial services industry
• Strong marketing infrastructure and brand presence
• Structured accountability-driven sales environment
• Clear performance expectations and measurable targets
• Direct access to leadership and decision-makers
• Stable profitable organization with long-term growth vision
• Significant earning potential for disciplined producers

Our culture is built on professionalism ownership and execution.
We value structure over chaos accountability over excuses and performance over politics.

This is an environment for serious professionals who want to operate at a high level and be compensated accordingly.

Compensation: $150000.00 - $250000.00 per year

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.

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