SENIOR COMPLIANCE OFFICER
Location:
Chicago; Hybrid
About the Role:
In this Chicago-based 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.
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
- Demonstrated 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 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.
- In this hybrid role, you will work 3 days/week in our downtown Chicago office
- Work with a great team in an exciting work environment
- Competitive compensation package: base salary of $100,000-140,000, plus bonus compensation based on personal and business objectives
- Comprehensive benefits including medical, dental, vision insurance, life & disability, etc.
- Multiple voluntary benefits: identity protection, pet insurance, accident insurance and others
- Flexible PTO policy
- 401k program to help build wealth for the future
- Paid parental leave to bond with your new addition
- Chicago-based employees 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: hr@haloinvesting.com.
100000.00 To 140000.00 (USD) Annually
