Optimize BD compliance efficiently.
Whether you need to register with FINRA, build compliance practices, maintain best practices, or test for gaps, we’re here for you. As a brokerage compliance consulting firm, we’ve got your back.
Benchmark offers these services to Broker-Dealers:
Broker-Dealer Registration Services
Compliance Program Support Services
Outsourced Chief
Compliance Officer Services
AML Compliance Program Support Services
Testing and Mock Examination Services
SATISFIED CLIENT
“We hired Benchmark Compliance as our consultant, and promptly found ourselves in the middle of a FINRA exam. Andrew jumped in, familiarized himself with our business, and became a trusted resource almost immediately.”
— Melissa S., Broker Dealer
Be registration ready.
Broker-Dealer Registration Services
Eager to establish your own Broker-Dealer with FINRA? The FINRA New Membership Application can be an exacting, overwhelming process. Relying on extensive FINRA regulatory experience, Benchmark streamlines the application process.
We ensure the application and approval processes provide a solid foundation for a comprehensive compliance program, documenting policies and procedures along the way.
Our consultants, with a wealth of SEC, FINRA, and state regulatory experience, will ensure you are up to date with industry best practices and current regulatory trends.
Simplify documentation.
Ensure your application is completed thoroughly.
Set up industry best practices to aid your business from the outset.
Rest assured your business can withstand regulatory scrutiny over time.
Ask us about:
14 Sections of Form NMA
Policies and Procedures
Continuing Education Program
Business Plan
Responses to FINRA requests
CRD administration, among other items
Tap a compliance lifeline.
Compliance Program Support Services
In today's complex regulatory landscape, broker-dealers face unique challenges. FINRA and SEC requirements are constantly evolving, and compliance gaps can result in severe penalties and damage to your reputation.
Leveraging cutting-edge technology, we deliver tailored solutions that keep your firm ahead of regulatory changes and FINRA expectations.
Partner with our seasoned compliance experts to alleviate stress and ensure your broker-dealer operations remain fully compliant.
Strengthen your compliance framework with:
Customized templates and guidance specific to broker-dealer models, ensuring robust compliance solutions.
Targeted training programs to minimize non-compliance risks and enhance operational efficiency.
Expert support during FINRA examinations for added confidence and preparedness.
Call in expertise on demand.
Outsourced Chief Compliance Officer Services for Broker-Dealers
Access dedicated FINRA and SEC compliance experts who understand the unique challenges of Broker-Dealers, without the hefty price tag of a full-time hire.
Broker-Dealer Compliance Mastery
Benchmark Compliance provides seasoned professionals with deep, hands-on experience in FINRA regulations and Broker-Dealer operations. Our consultants bring years of industry-specific expertise to bolster your supervisory structure and navigate complex regulatory landscapes.
Elevate Your Broker-Dealer Compliance with an Outsourced CCO:
Eliminate the risk and guesswork of hiring in-house compliance leadership
Leverage battle-tested regulatory specialists with robust Broker-Dealer experience
Stay ahead of the regulatory curve with cutting-edge compliance strategies
Stay current on AML practices.
AML Compliance Program Support Services
The Anti-Money Laundering regulatory landscape presents a dynamic, ever-changing environment. Remaining tuned into industry best practices and new regulations challenges even the largest organizations.
We apply business model-specific advice and guidance to help you remain compliant with FINRA rules, the USA PATRIOT Act, and the Bank Secrecy Act, among others.
Stay current in the AML space with our compliance program consultations and AML testing services.
Meet today’s AML standards:
Strengthen your overall compliance operations with thorough AML testing.
Implement a more robust AML program with all components needed to meet your compliance obligations, now.
Stay prepared when facing your next regulatory examination, mitigating reputational risks.
Stress-test your FINRA defenses.
Mock Examinations and Testing Services for Broker-Dealers
You've built your compliance program, but can it withstand FINRA scrutiny? Are you confident in it? Rigorous testing is the gold standard for validating your control environment's effectiveness.
FINRA mandates evidence through Supervisory Controls Testing and Annual Reviews. We thoroughly examine your policies and procedures, aligning them with current regulatory hot buttons and testing their real-world effectiveness.
Schedule a mock FINRA or SEC exam to uncover actionable insights. Fortify your compliance program today.
Bulletproof Your Broker-Dealer Compliance:
Expose and address potential weaknesses before FINRA does
Gain confidence in your control environment's robustness
Ensure your program is cutting-edge and fully operational
Which services are right for you?
Book your complimentary 30-minute consultation where we talk about you and your business — to learn what you get with each service and explore the next right step to help you achieve your goals.