Compliance Analyst, Supervision

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

This Chicago-based Compliance Analyst will play an integral part in supporting the culture of compliance within Halo, ensuring adherence to regulatory requirements and risk mitigation. This individual will ensure that both the registered representatives of the broker dealer and the firm itself comply with applicable FINRA and SEC rules and regulations. As part of a small but mighty team, the Compliance Analyst will report to the CCO and work across all business units.

Primary Responsibilities:

• Perform principal reviews and approvals/denials for annuity applications and 1035 exchanges under FINRA Rule 2330 and Reg BI standards.
• Assist in daily surveillance of internal and external representatives.
• Coordinate and review quarterly/annual compliance reporting to the CCO.
• Conduct Know Your Customer (KYC) onboarding checks and Customer Due Diligence (CDD) on new and ongoing institutional accounts.
• Update and maintain Halo's Written Supervisory Procedures (WSPs) to reflect new laws or regulatory guidance.
• Consult on various investment, FINRA and SEC compliance-related questions and issues as necessary.
• Collaborate and develop professional relationships with internal and external business partners.
• Oversee the online training platform from initiation to completion for Firm Element, Annual Compliance Meeting and Annual Compliance Questionnaire, ensuring full and successful employee participation.
• Assist with special projects, ad hoc assignments, and other investment advisor compliance-related matters as directed by CCO.

Required Education and Experience:

• Bachelor's degree required, with 1-3 years of relevant compliance experience in the financial services industry; investment advisor experience preferred.
• Series 7 and 24 licenses required.
• Desire for continuous learning and career development in compliance and financial services.
• Excellent written and verbal communication skills; ability to work effectively with Halo team members at all levels
• Detail oriented, organized and diligent, able to maintain discretion when handling sensitive and confidential information.

Benefits and Compensation:

This is a great opportunity with a company that values and rewards its employees. Halo offers a competitive package of benefits and compensation that will make your work life both fulfilling and enjoyable.

• This is a hybrid role, working 3 days/week in our downtown Chicago office; working with a great team in an exciting work environment
• Salary range of $60,000 - $80,000, plus eligibility for annual discretionary bonus based on personal and business objectives. (Please note: Salary data is a general guideline. Halo's salaries are based on candidate skills and experience.)
• Multiple voluntary benefits: identity protection, pet insurance, accident insurance and more!
• Flexible PTO policy
• 401k program to help build wealth for the future
• Paid parental leave to bond with your new addition
• As a Chicago-based employee, you will have access to a company-paid, on-site gym, happy hours, and ad-hoc outings and activities like sports teams, volunteer events and more!

Halo values diversity and inclusion, and we are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, national origin, disability status, protected veteran status, or any other characteristics protected by federal, state, or local laws, regulations, or ordinances. If you need assistance or accommodation due to a disability or special need when applying for a role or during our recruitment process, please contact us at: [e-mail].