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Chief Compliance Officer

Chicago, IL | Full-time


Position Title: Chief Compliance Officer
Location: Chicago, Il.

Halo Investing is a financial technology company that serves as the only independent, multi-issuer platform built to fundamentally change how the
Structured Note marketplace operates. Our blind, competitive auction process and post-trade lifecycle management capabilities ensure best pricing and ease of tracking structured note CUSIPs. Having recently closed a Series B financing round with Allianz and William Blair as lead investors, Halo’s platform is designed to democratize the $3 Trillion global Structured Note marketplace.

Position Description:
Halo is looking for an experienced Chief Compliance Officer based in Chicago, Il to act as firm’s lead on our existing professional client base and guide the set-up of a new retail broker dealer business. A successful candidate in this role must possess strong communication skills, superior writing skills and the ability to manage multiple tasks in a dynamic environment. The candidate should have a solid understanding of the rules and regulations relevant to Structured Products, Fixed Income Issuance, Options and Equity securities with a minimum of 10 years’ experience as a compliance officer at a FINRA registered broker dealer.

Responsibilities

  • Develop, maintain and execute an effective compliance program designed to ensure the firm’s supervision and controls meet regulatory requirements and industry best practices.
  • Proactively audit and surveille the firm’s systems and activities to detect and resolve potential compliance issues.
  • Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance.
  • Ensure procedures are appropriately documented and referenced in the Firm's compliance manuals and written supervisory procedures.
  • Be the main point of contact for external legal counsel and act as internal counsel for enterprise and client contracts when required.
  • Provides advice to senior leadership on current firm risk, policies, and upcoming regulatory rules and actions.
  • Implement and maintain the firm’s AML and KYC policies for both existing institutional business and the new retail broker-dealer.
  • Serve as the coordinator with regulatory and internal auditors, as required under exams, inquires, or audits; serve as the firm’s advisor to governance committees.
  • Works with all levels of management to ensure that appropriate supervisory processes and controls are established, documented, and enforced within each of the firm’s areas of responsibility;
  • Review new account applications, counterparty relationships, personal brokerage transactions and employees outside business activities.
  • Sales Literature approval, electronic communication, and written correspondence reviews.
  • Maintain and monitor staff training and licensing requirements including Web CRD, Continuing Education, and Forms BD/U4/U5.

Qualifications

  • At least 8+ years of industry experience in a compliance role with a FINRA registered broker-dealer.
  • BS/BA in finance, business administration or related field.
  • JD or BS/BA in law a plus.
  • Series 7, 63, and 24 are required.
  • In-depth knowledge of the industry’s standards and regulations.
  • Strong working knowledge of Fixed Income regulations including primary issuance of debt and institutional sales practices.
  • Structure Note experience a huge plus.
  • Understanding of Reg S and 144 issuances.
  • Experience with and the implementation of KYC and AML policies.
  • Ability to identify and solve complex compliance issues or policies in a team environment working with various levels of management.
  • Excellent knowledge and experience with writing, maintaining, and revision of firm procedures and record keeping.
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