About The Role
We are looking for a Compliance Specialist to take a leadership role in guiding the set-up and ongoing oversight of a new retail broker dealer business. 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 5 years experience as a compliance officer at a FINRA registered broker dealer.
- 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.
- Sales Literature approval, electronic communication, and written correspondence reviews.
- Implement and maintain the firm’s AML and KYC policies for the new retail broker-dealer.
- Works with all levels of management to ensure that appropriate supervisory processes and controls are established, documented, and enforced.
- Review new account applications, counterparty relationships, personal brokerage transactions and employees outside business activities.
Halo Investing, located in downtown Chicago, is a well-funded, financial technology startup who has the first independent multi-issuer platform focused on an investment product known as Structured Notes. Structured Notes are a pre-defined outcome investment product offering downside protection, previously only available to the ultra-high net worth. Halo is empowering and democratizing access to the product by building technology to analyze, purchase and manage the full lifecycle of the product while building efficiencies for Issuing banks.
- BS/BA in finance, business administration or related field.
- Minimum of 5 years of experience with at least 3+ years of industry experience in a compliance role with a FINRA registered broker-dealer.
- Series 7, 63, and 24 are required.
- Strong working knowledge of Fixed Income regulations including primary issuance of debt and institutional sales practices.
- Structure Note experience a huge plus.
- 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.
- 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.
Halo offers comprehensive medical and dental, Equity options, a flexible PTO policy, transit benefits, snacks, a pop-a-shot in the office and regular team outings.