Compliance Officer - part time remote for broker dealer

🌍 Remote, USA 💹 Full-time 🕐 Posted Recently

Job Description

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.

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

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