Paralegal

CXG Holdings Inc•Town of Smithtown, NY

60d•Onsite

About The Position

CXG is seeking a detail-oriented Paralegal to support the formation and ongoing operations of Finra & SEC regulated broker-dealers. This role works directly with the Director of Operations and senior leadership to prepare and manage FINRA and SEC filings, coordinate regulatory processes, and support client engagements. This is a unique opportunity to gain hands-on experience building broker-dealers and working directly with regulators in a fast-growing consulting firm.

Requirements

Bachelor’s degree
1–3 years experience in legal, compliance, financial services, or similar field
Paralegal experience or legal support background preferred
Strong attention to detail and organizational skills
Excellent writing and document formatting skills (Microsoft Word proficiency required)
Ability to manage multiple projects simultaneously
Strong communication skills and comfort working with senior professionals

Nice To Haves

Exposure to FINRA, SEC, or other regulators
Interest in broker-dealers or financial services
Experience with regulatory filings or structured documentation
Experience drafting corporate documents (resolutions, agreements, etc.) is a plus

Responsibilities

Assist in preparing and managing FINRA New Member Applications (CMA process)
Coordinate with FINRA, SEC, and state regulators
Draft, review, and format regulatory filings and supporting documents
Assist in drafting corporate documents, including resolutions and related materials
Track application progress and maintain compliance timelines
Support internal legal and compliance teams
Organize and maintain documents in cloud-based systems
Communicate with clients and internal stakeholders on a daily basis
Work with in-house attorney's on legal tasks