Senior Compliance Officer
Halo Investing, Inc
About us:
Halo Investing is an award-winning technology platform that disrupts how protective investment solutions are used worldwide. Headquartered in Chicago, with offices worldwide, we’re on a mission to change the world by democratizing access to investment solutions that were previously unavailable to most investors. Our marketplace connects financial advisors and investors to protective investment products – including structured notes, buffered ETFs, and annuities – offered by leading global financial institutions.
In October 2021, Halo announced that it raised over US $100 million in Series C funding. The latest fundraising round was led by Owl Capital and included the Mubadala-backed US $1 billion fund managed by Abu Dhabi Catalyst Partners, in addition to existing investors Allianz Life Ventures and William Blair.
Come join our uniquely motivated, dynamic and proactive team. Above all, we value collaboration, communication, and passion!
About the Role:
We are looking for a Senior Compliance Officer to play an integral part in ensuring 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, this person will work with all business units to help grow the culture of compliance within Halo. This is a hybrid role, in the office 3x a week.
Primary Responsibilities:
• Assist in surveillance of registered representatives and the firm
• Monitor regulatory updates and propose improvements of business unit procedures and company compliance programs to the CCO
• Partner with all institutional and insurance business units to identify key risks and provide timely and thoughtful guidance on compliance matters for multiple lines of businesses
• Assess the current trade surveillance program and identify opportunities for improvement, increasing efficiency and ensuring the firm meets regulatory requirements and industry best practices
• Incorporate Reg BI and Suitability standards to review annuity applications
• Review and approve marketing materials for institutional and customer use
• Research and advise on training requirements based on new/changing industry regulations and related compliance policies
• Participate in annual and regulatory audits
• Consult on various investment, FINRA, and SEC compliance-related questions and issues as necessary
• Assist on special projects, ad hoc assignments, and other compliance-related matters as directed by CCO
Required Education and Experience:
• 5-7 years of relevant compliance experience in the financial services or trading industry; investment advisor experience preferred
• Expertise with institutional firms and trade desk and annuity compliance
• Licenses required: Series 7, 24 (63, 65, 66, 4, 52, 53 and/or 57 a plus)
• Understanding of the 1933 & 1934 Act, Investment Advisors Act of 1940, and FINRA, SEC, MSRB and DOL regulations
• Experience working with My Compliance Office and Global Relay
• Bachelor’s degree required
Benefits:
Get ready for an incredible opportunity with a company that values and rewards its employees. We offer a competitive package of great benefits that will make your work life both fulfilling and enjoyable!
• Work with a great team in an exciting work environment
• Hands-on and structured learning opportunities, continued professional growth
• Competitive compensation package
• Comprehensive benefits (medical, dental, vision, life/disability, etc.)
• 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
• Free snacks
• Company-paid, on-site gym membership
• Building and in-office happy hours
• Ad-hoc outings and activities like baseball games, yoga classes and more!
Halo Values Diversity and Inclusion. 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 disability or special need when applying for a role or during our recruitment process, please contact us at: hr@haloinvesting.com