FinTech Compliance Analyst — FINRA/SEC Focus (Hybrid Chicago)

Halo Investing, Inc.; Chicago (IL); Hybride; USD 60 000 - 80 000; Plein temps

Avantages offerts par ce poste

On-site gym access

Paid parental leave

Flexible PTO

401k program

Résumé du poste

Halo Investing, Inc. is seeking a Chicago-based Compliance Analyst to support the firm’s regulatory program and risk management. You will ensure FINRA and SEC rule adherence for both the broker-dealer and the firm, working with a small team and reporting to the Chief Compliance Officer.

The role emphasizes training oversight, KYC/CDD processes, and quarterly compliance reporting, with a hybrid schedule requiring three days per week in the downtown Chicago office.

Qualifications

• Bachelor’s degree required, with 1-3 years of financial services experience.
• Series 7 and 24 licenses required.
• Excellent written and verbal communication; ability to work with Halo team.

Responsabilités

• 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.

Connaissances

Written communication

Verbal communication

Attention to detail

Discretion

Formation

Bachelor’s degree

Series 7 license

Series 24 license

Description du poste

Halo Investing, Inc. is seeking a Chicago-based Compliance Analyst to support the firm’s regulatory program and risk management. You will ensure FINRA and SEC rule adherence for both the broker-dealer and the firm, working with a small team and reporting to the Chief Compliance Officer.

The role emphasizes training oversight, KYC/CDD processes, and quarterly compliance reporting, with a hybrid schedule requiring three days per week in the downtown Chicago office.