Jobs at Halo Investing

Processes annuity paperwork, monitors business inflow, maintains Salesforce records, communicates with carrier partners, financial advisors, sales staff, and clients, compiles operational reports, organizes information, follows up on outstanding tasks, and supports special projects. The role requires accuracy, compliance awareness, analytical ability, strong communication, and adaptability in a hybrid Chicago office environment.

The Assistant Controller will oversee accounting operations, including accounts payable, accounts receivable, general ledger, and financial reporting. Responsibilities include preparing financial statements, budgets, and forecasts; managing cash flow and investments; maintaining financial policies, procedures, and internal controls; supporting compliance; and partnering with banks, auditors, and internal departments. The role also involves mentoring accounting team members and improving financial processes.

Manage payroll processing and year-end activities in ADP for approximately 100 employees, including earnings, commissions, taxes, and regulatory reporting. Administer health, retirement, statutory, and voluntary benefits; process enrollments and changes; coordinate with providers; and support annual enrollment. Maintain accurate HRIS records, assist with onboarding, research competitive benefits, resolve discrepancies, and provide employee and manager support.

Supports 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.

The Regional Vice President oversees business development and client relations in a region, executing sales strategies and collaborating with various teams to achieve growth targets.