Chicago Hybrid Compliance Analyst: FINRA/SEC, KYC

Halo Investing; Chicago (IL); Hybrid; USD 60,000 - 80,000; Full time

Job summary

Halo Investing, a Chicago-based company, is seeking a Compliance Analyst to support the firm's compliance program and regulatory adherence. The role involves reviewing FINRA/reg BI relevant items, KYC/CDD checks, and cross-functional collaboration with the CCO and business units.

The candidate should have a Bachelor's degree with 1–3 years of compliance experience within financial services, and hold Series 7 and 24 licenses.

Qualifications

• Bachelor's degree required, 1-3 years in compliance in financial services.
• Series 7 and Series 24 licenses required.
• Strong written and verbal communication skills.
• Detail oriented, discreet handling of sensitive information.

Responsibilities

• Perform principal reviews/approvals for annuities and 1035 exchanges under FINRA Rule 2330 and Reg BI.
• Assist in daily surveillance of internal and external representatives.
• Coordinate quarterly/annual compliance reporting to the CCO.
• Conduct KYC onboarding and CDD on new and existing accounts.

Skills

Regulatory compliance

FINRA rules

SEC rules

Surveillance

Education

Bachelor's degree

Tools

Series 7 license

Series 24 license

Job description

Halo Investing, a Chicago-based company, is seeking a Compliance Analyst to support the firm's compliance program and regulatory adherence. The role involves reviewing FINRA/reg BI relevant items, KYC/CDD checks, and cross-functional collaboration with the CCO and business units.

The candidate should have a Bachelor's degree with 1–3 years of compliance experience within financial services, and hold Series 7 and 24 licenses.