Senior Compliance Officer

Halo Investing
Chicago, IL, United States of America
Job Type


About Us:

Named by Fast Company in its Top 10 Most Innovative FinTech Companies, Halo Investing is the first independent, multi-issuer platform for defined outcome investing. Halo Investing gives financial advisors, wealth managers and RIA’s access to structured notes, buffered ETFs, and annuities. By delivering the best pricing and execution to the clients it serves, Halo is changing the world of investing by democratizing the protective investment marketplace.

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.

Halo is based in Chicago, with offices in Zurich, Abu Dhabi, and Singapore. We’ve balanced tremendous growth with strong company culture to create a uniquely motivated, dynamic, and proactive team. Above all, we value collaboration, communication, and passion!

Primary Responsibilities:

  • Assist in daily surveillance of internal and external representatives.
  • Coordinate and review quarterly/annual compliance reporting to the CCO.
  • 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, creative thoughtful guidance on compliance matters for multiple lines of businesses.
  • Review and approve marketing advertising material for institutional and retail use.
  • Lead ongoing training on new/changing industry regulation and related compliance policies to employees.
  • 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.
  • Assist on special projects and as hoc assignments; and other investment adviser compliance-related matters as directed by CCO.


Required Education and Experience:

  • Bachelor’s degree required.
  • Licenses required: Series 7, 24, 63 and 65 (66, 4, 52,53, 57 a plus).
  • 5-7 years of relevant compliance experience in the financial services industry, investment adviser experience preferred.
  • Knowledge of the 1933 & 1934 Act, Investment Advisers Act of 1940, and FINRA, SEC, MSRB and DOL regulations.
  • Experience working with Schwab Compliance Technologies (SCT) and Global Relay.



  • Competitive Compensation
  • Comprehensive Medical and Dental
  • 401k Program
  • Unlimited PTO
  • Paid Parental Leave
  • Fun & Exciting work environment, including free snacks and onsite pop-a-shot
  • Flexible and highly collaborative work environment


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:

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