Jobs at Halo Investing

Manage payroll processing and year-end activities in ADP for approximately 100 employees, including earnings, commissions, taxes, and regulatory reporting. Administer health, retirement, statutory, and voluntary benefits; process enrollments and changes; coordinate with providers; and support annual enrollment. Maintain accurate HRIS records, assist with onboarding, research competitive benefits, resolve discrepancies, and provide employee and manager support.

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.

The Regional Vice President oversees business development and client relations in a region, executing sales strategies and collaborating with various teams to achieve growth targets.