Hiring: Compliance Analyst, Supervision Company: Halo Investing Location: Chicago, IL Job Posted Time: 2026-09-10 11:41:08 Employment Type: Hybrid Target Skills & Keywords : Series 7 About the job Experience: •Desire for continuous learning and career development in compliance and financial services. •Excellent written and verbal communication skills; ability to work effectively with Halo team members at all levels •Detail oriented, organized and diligent, able to maintain discretion when handling sensitive and confidential information. Required Skills: •Perform principal reviews and approvals/denials for annuity applications and 1035 exchanges under FINRA Rule 2330 and Reg BI standards. •Assist in daily surveillance of internal and external representatives. •Coordinate and review quarterly/annual compliance reporting to the CCO. •Conduct Know Your Customer (KYC) onboarding checks and Customer Due Diligence (CDD) on new and ongoing institutional accounts. •Update and maintain Halo’s Written Supervisory Procedures (WSPs) to reflect new laws or regulatory guidance. •Consult on various investment, FINRA and SEC compliance-related questions and issues as necessary. •Collaborate and develop professional relationships with internal and external business partners. •Oversee the online training platform from initiation to completion for Firm Element, Annual Compliance Meeting and Annual Compliance Questionnaire, ensuring full and successful employee participation. Qualifications: •Bachelor’s degree required, with 1-3 years of relevant compliance experience in the financial services industry; investment advisor experience preferred. Compensation: •$60,000 - $80,000 / year •Competitive benefits and rewards package •Salary range of $60,000 - $80,000, plus eligibility for annual discretionary bonus based on personal and business objectives Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!