Associate Attorney - Regulatory Consulting

CXG Holdings Inc•Town of Smithtown, NY

4h•$120,000 - $140,000•Onsite

About The Position

Compliance Exchange Group (CXG) is seeking an experienced attorney for a client-facing regulatory consulting position at its main office in Smithtown, Long Island. The associate-level professional will manage client engagements, regulatory applications, and complex business matters, working closely with company leadership and the regulatory team from initial information gathering through completion. The role applies legal research, writing, judgment, client-service, and billing skills to help broker-dealers and financial-services businesses navigate regulatory applications, ownership changes, business expansions, and related compliance projects. The position is full-time and in-office in Smithtown, New York, Monday through Friday; it is not remote or hybrid. The base salary is $120,000–$140,000 annually, depending on experience and qualifications.

Requirements

Juris Doctor degree.
At least five years of experience as an attorney; approximately 5–10 years is the target, and 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 the Smithtown office, Monday through Friday.

Nice To Haves

Experience with FINRA, broker-dealer compliance, securities regulation, financial services, corporate transactions, or regulatory applications is a plus, but is not required.
Attorneys from other practice areas with strong client-service and matter-management skills and an interest in learning the field are encouraged to apply.

Responsibilities

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.