Head of Broker Dealer Operations Manager
3 weeks ago
Halo Investing Inc is seeking a highly skilled and experienced Head of Broker Dealer Operations to join our team in downtown Chicago. As a key member of our leadership team, you will be responsible for overseeing the growth and development of our broker dealer operations, ensuring compliance with SEC and FINRA regulations, and driving business growth through strategic planning and execution.
Key Responsibilities:
- Oversee the development and implementation of broker dealer operations strategies and processes
- Ensure compliance with all relevant regulations, including SEC and FINRA
- Manage and analyze team activities and processes to ensure timely and accurate processing
- Develop and implement best practices to achieve operational excellence
- Facilitate problem resolution and coordinate between Compliance, Operations, and other functions
- Develop and manage goals for each employee of the Broker Dealer
- Provide coaching and feedback to team members to enhance performance and achieve goals
- Stay up-to-date with changing regulations and requirements for the Broker Dealer
Requirements:
- Bachelor's degree in Business Administration or related field
- Series 7 & 63 license required, Series 24 and 99 preferred
- 3-5 years of experience in broker dealer management, with a proven track record of success
- Excellent interpersonal and communication skills
- Ability to motivate and lead others
- Self-motivated and enthusiastic about the challenges of an early-stage firm and dynamic environment
What We Offer:
- Comprehensive medical and dental benefits
- Equity options
- Flexible PTO policy
- Transit benefits
- Snacks and regular team outings
About Halo Investing Inc:
Halo Investing Inc is a well-funded financial technology startup located in downtown Chicago. We are building a platform to analyze, purchase, and manage the full lifecycle of Structured Notes, a pre-defined outcome investment product offering downside protection. We are empowering and democratizing access to this product by building technology to analyze, purchase, and manage the full lifecycle of the product while building efficiencies for Issuing banks.
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