Sr. Compliance Specialist
Binah Capital Group, Chicago, IL, United States
Binah Capital Group (NASDAQ: BCG) is a leading financial services enterprise that supports independent financial advisors through its network of industry-leading firms. As a national broker-dealer aggregator, Binah excels in providing innovative solutions tailored to the evolving needs of Registered Investment Advisors (RIAs). The company offers structure, flexibility, and cutting‑edge resources to help advisors seamlessly operate and grow their practices. Binah is committed to empowering its advisor partners to succeed within today’s competitive and complex financial landscape.
Sr. Compliance Specialist The Senior Compliance Specialist is responsible for supporting and enhancing the firm’s compliance program to ensure adherence to established and emerging industry regulations, including those issued by the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC), internal policies, and industry standards while optimizing operational processes for efficiency and effectiveness.
This role plays a key part in maintaining regulatory compliance, promoting a culture of compliance across the organization, and supporting supervisory and monitoring functions within an Independent Broker/Dealer environment.
KEY RESPONSIBILITIES
Assist in maintaining and updating the firm’s compliance program, including compliance manuals, policies, and procedures.
Promote and foster a strong compliance culture throughout the organization.
Develop and deliver compliance training to staff and support ongoing regulatory education initiatives.
Monitor, research, and interpret regulatory developments and communicate changes to compliance staff and management.
Support regulatory inquiries, branch office inspections, and internal audits.
Assist in conducting compliance testing and ongoing monitoring activities.
Track and monitor corrective actions to ensure timely resolution of identified issues.
QUALIFICATIONS, KNOWLEDGE AND SKILLS
Thorough knowledge of FINRA and SEC rules and regulations, particularly within an Independent Broker/Dealer environment.
Strong understanding of FINRA rules and regulatory expectations.
Excellent verbal and written communication skills.
Exceptional interpersonal and customer service abilities.
Attention to detail and strong analytical skills.
EDUCATION AND EXPERIENCE
Bachelor’s degree from an accredited college or university in Finance, Business Administration, or a related field preferred.
5 - 10 + years of experience in compliance within the financial services industry.
Experience with Independent Broker/Dealer platform, Correspondent Clearing and Custody Relationship needed.
Licenses & Certifications (Required)
Series 7
Series 63 or Series 66
Series 24
Compensation and Benefits
The pay range for this position is $115,000 - 150,000 USD per year
Benefits for this role may include health insurance, pre‑tax spending accounts, retirement benefits, paid time off, short‑term and long‑term disability, and life insurance
Compensation depends on relevant experience and/or education, specific skills, function, geographic location, and other factors as applicable by law.
Binah Capital Group (BCG) Binah Capital Group (BCG) is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
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Sr. Compliance Specialist The Senior Compliance Specialist is responsible for supporting and enhancing the firm’s compliance program to ensure adherence to established and emerging industry regulations, including those issued by the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC), internal policies, and industry standards while optimizing operational processes for efficiency and effectiveness.
This role plays a key part in maintaining regulatory compliance, promoting a culture of compliance across the organization, and supporting supervisory and monitoring functions within an Independent Broker/Dealer environment.
KEY RESPONSIBILITIES
Assist in maintaining and updating the firm’s compliance program, including compliance manuals, policies, and procedures.
Promote and foster a strong compliance culture throughout the organization.
Develop and deliver compliance training to staff and support ongoing regulatory education initiatives.
Monitor, research, and interpret regulatory developments and communicate changes to compliance staff and management.
Support regulatory inquiries, branch office inspections, and internal audits.
Assist in conducting compliance testing and ongoing monitoring activities.
Track and monitor corrective actions to ensure timely resolution of identified issues.
QUALIFICATIONS, KNOWLEDGE AND SKILLS
Thorough knowledge of FINRA and SEC rules and regulations, particularly within an Independent Broker/Dealer environment.
Strong understanding of FINRA rules and regulatory expectations.
Excellent verbal and written communication skills.
Exceptional interpersonal and customer service abilities.
Attention to detail and strong analytical skills.
EDUCATION AND EXPERIENCE
Bachelor’s degree from an accredited college or university in Finance, Business Administration, or a related field preferred.
5 - 10 + years of experience in compliance within the financial services industry.
Experience with Independent Broker/Dealer platform, Correspondent Clearing and Custody Relationship needed.
Licenses & Certifications (Required)
Series 7
Series 63 or Series 66
Series 24
Compensation and Benefits
The pay range for this position is $115,000 - 150,000 USD per year
Benefits for this role may include health insurance, pre‑tax spending accounts, retirement benefits, paid time off, short‑term and long‑term disability, and life insurance
Compensation depends on relevant experience and/or education, specific skills, function, geographic location, and other factors as applicable by law.
Binah Capital Group (BCG) Binah Capital Group (BCG) is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
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