Head of Broker Dealer Operations

Head of Broker Dealer Operations

Halo is looking for a Head of Broker Dealer Operations to help manage and grow its broker dealer operations. We are looking to recruit and retain highly motivated professionals who can keep pace with current growth and be valuable contributors to Halo’s success.

This position must have at least 3-5 years of experience managing broker dealer operations in an institutional or retail equity or options environment. The successful candidate will demonstrate a history of highly organized thought, process understanding and improvement, client onboarding, KYC requirements, and more. They will also provide critical direction when necessary.

We believe a Head of Broker Dealer Operations will have a greater chance of success at Halo if they exhibit the following qualities (in no particular order):

· An entrepreneurial work ethic – you don’t not need big company name behind you to be successful; you have an ability to work in an unstructured environment, and pick up things quickly, etc.

· Oversee the growth and development of a new broker dealer operation, putting in place clear processes and monitoring that conforms to SEC and FINRA regulations.

· Set and manage goals for the business, including budgets, resources and PnL.

· A comprehensive understanding of compliance, investment concepts, and practices and procedures used in the securities industry.

· Provide valuable feedback to enhance performance and demonstrate areas of improvement to optimize results.
Job Responsibilities

  • Build the firm’s Broker Dealer operations for both institutional and retail sales.
  • Team Building: As we grow, you will be responsible for recruiting candidates that meet the requirements to join the Halo team.
  • Monitoring: Responsible for managing and analyzing team activities and processes to ensure timely and accurate processing, establishing productivity plans and metrics to monitor accomplishment of goals/performance levels and operational objectives including new business, account maintenance & transfers, and reconciliation of books & records. Ensures compliance with all state and federal mandates and government programs. Acts as FINRA Supervisory Principal.
  • Improvement. Responsible for development and implementation of best practices which lead to operational excellence in all functional teams that are compliant with regulatory requirements, including SEC, FINRA.
  • Compliance. Facilitates problem resolution on both routine and escalated issues coordinating between Compliance, Operations, and other functions.
  • Motivate. Develop and manage goals for each employee of the Broker Dealer. Evaluate different ways to motivate both individual performance and team goals.
  • Team Coaching: Work closely with each member of the team to help them get the best out of themselves. Provide both positive re-enforcement and critical feedback to help each team member exceed expectations. Make crucial decisions on advancement and retention as required.
  • Reporting: Create and regularly produce reports for the company that explains the performance of the Broker Dealer. Use data to show how the results have been or can be improved.
  • Stay on top of changing regulations and requirements for the Broker Dealer.
  • Excellent ability to communicate at all levels within the organization required.

Job Qualifications & Requirements

Bachelor’s degree in Business Administration, an MBA is a plus.

· Series 7 & 63 license are required, Series 24 and 99 preferred, or plan to achieve.

  • 3-5 years of Broker Dealer Management experience.
  • Demonstrated experience successfully managing and monitoring BD operations, client onboarding, privacy rules, FINRA/SEC Regulations, etc..
  • Excellent interpersonal and communications skills.

· Ability to motivate and lead others.

  • Self-motivated and enthusiastic regarding the challenges of an early stage firm and dynamic environment.
  • Effective negotiation skills
  • Familiarity with


Chicago, IL

About the Company

Halo Investing, located in downtown Chicago, is a well-funded, financial technology startup who has the first independent multi-issuer platform focused on an investment product known as Structured Notes. Structured Notes are a pre-defined outcome investment product offering downside protection, previously only available to the ultra-high net worth.

Halo is empowering and democratizing access to the product by building technology to analyze, purchase and manage the full lifecycle of the product while building efficiencies for Issuing banks. We have an established business, amazing talent & mentorship, and we're hiring!

Job Type: Full-time


  • 401(k)
  • Dental insurance
  • Disability insurance
  • Health insurance
  • Life insurance
  • Paid time off
  • Vision insurance


  • Monday to Friday

Supplemental Pay:

  • Bonus pay

COVID-19 considerations:
We pride ourselves on providing a safe, healthy workplace for our employees.


  • Bachelor's (Preferred)


  • Broker Relationships: 5 years (Preferred)
  • Securities Compliance: 3 years (Preferred)


  • Series 24 (Preferred)
  • FINRA License (Preferred)
  • Series 7 (Preferred)

Work Location:

  • One location

Work Remotely:

  • No
Halo Investing
Salary Range
$64,000.00 - 171,000.00
per Year
Salary range estimated by
Chicago, IL 60661, US
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