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.

• 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.
• Collaborate with other departments to support firm-wide compliance initiatives and assigned projects.
• Maintain and update the firm’s compliance manuals, policies, and supervisory procedures.
• Ensure policies align with regulatory frameworks such as the Investment Advisers Act of 1940 and Dodd‑Frank Wall Street Reform and Consumer Protection Act.
• Develop and implement compliance controls and monitoring programs.

• 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.
• Ability to manage multiple priorities and meet deadlines in a high‑paced, high‑volume environment.
• Demonstrated ability to follow projects through to completion.
• Self‑motivated with the ability to work independently and collaboratively within a team environment.

• 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.
• Strong knowledge of FINRA rules.
• Experience with Independent Broker/Dealer platform, Correspondent Clearing and Custody Relationship needed.

• Securities Industry Essentials (SIE)
• Series 7
• Series 63 or Series 66
• Series 24 (or equivalent supervisory license)

The pay range for this position is $115, USD per year

Compensation depends on relevant experience and/or education, specific skills, function, geographic location, and other factors as applicable by law.

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.

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.