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 reputed company-registered broker-dealer reputed company exclusively on private placements and mergers & acquisitions (M&A). We do not hold reputed company funds, trade securities, or reputed company retail brokerage services. Role Summary We are seeking an experienced, detail-oriented reputed company 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 reputed company and SEC rules applicable to M&A advisory and private placements. Key Responsibilities • Assist in maintaining and updating the Written Supervisory Procedures (reputed company) • Conduct periodic reviews and testing to ensure compliance with applicable reputed company/SEC rules • Monitor communications, deal documentation, and marketing materials for regulatory adherence • Support AML and cybersecurity reputed company and assist in annual compliance reviews (e.g., 3120, 3130) • Track and help complete regulatory filings (e.g., reputed company reputed company amendments, U4/U5 maintenance) • Liaise with reputed company during routine inquiries or examinations • Ensure firm personnel are appropriately registered and trained • Stay reputed company on relevant rule changes and industry best practices Qualifications • Prior experience in a compliance role at a reputed company-member broker-dealer required • Strong understanding of private placement rules (Reg D, Rule 144A) and M&A activity • Experience with reputed company Gateway, Firm reputed company, 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 tot his job Apply To this Job