Chief Compliance Officer (CCO)
Halo Investing
- Halo%20Investing
Published
05/24/2022
Location
200 West Jackson Blvd, Chicago, Illinois
Category
Operations
Job Type
Full-time
Description
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!
About the Role:
Halo is looking for an experienced compliance professional to serve as our firmwide Chief Compliance Officer. The successful candidate will be based in Chicago and have a strong knowledge base of retail electronic trading, retail marketing approvals, and fixed income securities.
Primary Responsibilities:
- Supervise the compliance staff and manage the compliance programs of a FINRA registered broker dealer.
- 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.
Required Education and Experience:
- BS/BA degree in finance, business administration or related field. MBA, JD or BS/BA in law a plus.
- 10+ years of industry experience in a Compliance role with a FINRA registered broker-dealer.
- Series 7, 63 (or 66), and 24 are required.
- Strong working knowledge of Fixed Income regulations including primary issuance of debt and institutional sales practices.
- Solid understanding of the rules and regulations relevant to Structured Products, Fixed Income Issuance, Options and Equity securities.
- 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.
- Strong communication skills, superior writing skills and the ability to manage multiple tasks in a dynamic environment.
- Strong knowledge base of retail electronic trading, social media marketing approvals, and fixed income securities.
- Experience leading the approval process of all marketing channels, including social media and other digital advertising.
Benefits:
- Competitive Compensation
- Comprehensive Medical and Dental
- 401k Program
- Unlimited PTO
- Paid Parental Leave
- Flexible Hybrid WFH Environment
- 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: [email protected]
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