Halo Investing · Chicago, IL, USA, United States
Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.
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.
Primary 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 regulatory training.
- Report to the Chief Compliance Officer.