Compliance Analyst, Supervision

HALO INVESTING•Chicago, IL

4d•Hybrid

About The Position

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 with all business units within Halo.

Requirements

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.

Nice To Haves

investment advisor experience preferred

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.