Compliance Analyst, Supervision

Halo Investing Compliance Analyst, Supervision 3 Hours AgoSaved Hybrid Chicago, IL, USA 60K-80K Annually Junior 60K-80K Annually JuniorFintech • Software • Financial ServicesSupports 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.Top Skills: Customer Due Diligence (Cdd)FinraKnow Your Customer (Kyc)Regulation Best Interest (Reg Bi)SecWritten Supervisory Procedures (Wsps)