FinTech Compliance Analyst - Reg BI & FINRA (Hybrid)

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

Benefits offered by this job

Hybrid work 3 days/week in Chicago

401k program

Paid parental leave

On-site gym

Flexible PTO

Identity protection

Pet insurance

Accident insurance

Job summary

Halo Investing is seeking a Chicago-based Compliance Analyst to support the culture of compliance, ensuring FINRA/SEC rule adherence and risk mitigation. You will report to the CCO and collaborate across Halo’s business units.

The role is hybrid, located in downtown Chicago with three days in the office. Requires a Bachelor’s degree, Series 7 and 24 licenses, and 1–3 years of experience showing strong communication and discretion.

Qualifications

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

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 KYC onboarding checks and CDD on new and ongoing institutional accounts
• Update Halo’s Written Supervisory Procedures to reflect new laws or regulatory guidance
• Consult on investment, FINRA and SEC compliance questions as needed
• Collaborate with internal and external stakeholders
• Oversee the online training platform for Firm Element and Annual Compliance activities
• Assist with special projects and ad hoc compliance matters

Skills

Compliance experience

Series 7

Series 24

Reg BI knowledge

Education

Bachelor's degree

Job description

Halo Investing is seeking a Chicago-based Compliance Analyst to support the culture of compliance, ensuring FINRA/SEC rule adherence and risk mitigation. You will report to the CCO and collaborate across Halo’s business units.

The role is hybrid, located in downtown Chicago with three days in the office. Requires a Bachelor’s degree, Series 7 and 24 licenses, and 1–3 years of experience showing strong communication and discretion.