Company Description: 

Halo Investing 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.

We have an established business, amazing talent & mentorship, a kick-ass start up environment and we're hiring! 

About the Role:

We are looking for an experienced Compliance/Operations Coordinator to ensure our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters relating to FINRA and the SEC as we are a registered BD.

The goal is to preserve the company’s integrity by making sure it stays on a lawful and ethical course.

Responsibilities:

• Proactively auditing processes, practices, and documents surrounding Primary Issuance and Secondary Trade Practices of Structure Notes
• Prepares compliance audit data by compiling and analyzing internal and external information.
• Helps the company by answering questions and responding to requests from our business partners
• Prepare company for compliance needs for expansion to overseas markets
• Complies with federal, state, and local legal requirements by studying existing and new legislation; enforcing adherence to requirements; advising management on needed actions.
• Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
• Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
• Draft, modify and implement company policies
• Operational duties as they come up

How you’ll make an Impact:

Halo is seeking to redefine the Investment management industry and how complex investment products are delivered. The Compliance/Operations Coordinator will have the unique opportunity to gain start up experience and be a part of changing the way the world invest as we now know it. We are a small team of driven individuals who look to enact change and innovation across the entire value chain of Structured Notes issuance.

Desired Skills:

• Expert in FINRA and SEC Regulations
• Structure Note, fixed income, primary issuance of debt experience a huge plus!
• Proven experience as a compliance manager at a Broker Dealer or Investment Advisor
• In-depth knowledge of the industry’s standards and regulations
• Excellent knowledge of reporting procedures and record keeping
• An analytical mind able to “see” the complexities of procedures and regulations
• BS/BA in law, finance, business administration or related field

Benefits:

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.