HUB International
Senior Vice President Compliance & Risk Officer, Retirement & Private Wealth
HUB International, Fairfield, Connecticut, us, 06828
ABOUT HUB:
In a rapidly changing world, HUB advises businesses and individuals on how to prepare for the unexpected. As one of the world's largest insurance brokers, our focus is dedicated to providing our customers with the peace of mind that what matters most will be protected through unrelenting advocacy and tailored insurance solutions. Our growing team of professionals across North America represents a broad, deep, and unique aggregation of entrepreneurs and leaders recognized for their excellence throughout the insurance community.
About HUB Retirement & Private Wealth (RPW):
We lead our communities with integrity, driven to make things better, both now and in the future. We serve, inspire, and thrive while maintaining an entrepreneurial spirit. We innovate, collaborate, and achieve success together, focused on the tomorrows for all.
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. The SVP of Compliance (“SVP”), HUB Retirement and Private Wealth (“RPW”), will be a highly visible leadership position, reporting directly to the Global/Executive Chief Compliance Officer of RPW, working closely with RPW senior leadership to collectively support the growing RPW business. HUB owns several SEC and FINRA regulated entities which the SVP will support to provide consistent compliance support, implementation, and recommendations.
The SVP is expected to assist in the design, implementation, and maintenance of an efficient and effective centralized RPW compliance organization.
The SVP will be responsible for aiding in the development and maintenance of compliance policies and procedures for all Hub-affiliated registered investment advisers and their respective supervised persons. The SVP will also aid in the coordination of regulatory and compliance initiatives, conduct periodic and annual risk assessments, and draft regulatory compliance bulletins applicable to RIAs. The SVP may also oversee and manage special projects as needed.
Specific Responsibilities and Goals
Help develop and administer uniform policies, procedures, and best practices designed to prevent violations of the federal securities laws and serve as the primary contact for regulatory agency inquiries and examinations for all affiliated entities.
Help establish appropriate controls necessary to ensure compliance by the RIAs.
Aid in the enhancement and execution of compliance initiatives to demonstrate the strength and sustainability of RPW’s compliance program, including:
Using a risk-based approach, conduct ongoing compliance reviews and surveillance to evaluate and test for compliance with applicable rules, regulations, and policies;
Deliver the Firm’s compliance training program, including appropriate training for new employees as well as ongoing training for all employees;
Identifying and assisting in the development of workable action plans for correcting material compliance weaknesses;
Identifying additional necessary technology and resources;
Assisting in the development of compliance monitoring of transactional data to assess the adequacy of the policies and procedures.
Participate in monitoring of investment guidelines for clients of the Firm.
Position Requirements
Bachelor’s degree. JD a plus.
Relevant compliance experience with a Registered Investment Advisor, including at least 5-7 years supporting a compliance program under the Investment Advisers Act of 1940. Experience developing, monitoring, and enforcing appropriate policies and procedures.
Fluent in all SEC-registered investment advisor rules and regulations, including the Investment Advisors Act of 1940, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives.
Ability to confront difficult issues and challenge others when necessary.
Strong negotiating and conflict resolution skills.
Proven ability to identify, solve, and prevent compliance issues.
Ability to clearly and effectively communicate and escalate issues to management.
Collegial and collaborative approach working effectively with others to build strong professional relationships.
Outstanding written and verbal communication skills with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
Outstanding organizational skills, including prioritizing and follow-up.
Ability to handle competing demands and priorities.
The expected pay range for this position is $150,000 to $175,000 and will be impacted by factors such as the successful candidate’s skills, experience, and work location, as well as the specific position’s business line, scope, and level. HUB International is proud to offer comprehensive benefit and total compensation packages which could include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits, and eligible bonuses and commissions for some positions.
WHY CHOOSE HUB?:
Throughout our network of more than 530 HUB offices in North America, we offer a competitive, exciting, and friendly work environment that strategically positions our employees for longevity and success. At HUB, we believe in investing in the future of our employees and provide continuous opportunities for growth and development. Our entrepreneurial culture fosters an environment that empowers our people to make the best decisions for our customers and organization, focusing on expanding the industry knowledge of our insurance professionals to better serve our valued clients. We are committed to providing you with competitive and flexible benefits options that are rooted in your current needs yet evolve as your needs change over time. Join us in taking the first step toward creating a future that combines a diverse, challenging work environment with financial security and career satisfaction.
We are the perfect fit if you:
Are seeking a progressive work environment at a rapidly growing organization
Have a desire to help others protect their future
Have an entrepreneurial spirit and are challenged by the opportunity to grow the business
Are focused on learning and development to enhance your industry knowledge and expertise
Are a self-starter willing to invest time and energy to learn the technical aspects of our business
Believe in integrity and building success by developing relationships with others
Department: Legal
Required Experience: 7-10 years of relevant experience
Required Travel: Up to 25%
Required Education: Bachelor's degree (4-year degree)
HUB International Limited is an equal opportunity and affirmative action employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations.
This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
#J-18808-Ljbffr
In a rapidly changing world, HUB advises businesses and individuals on how to prepare for the unexpected. As one of the world's largest insurance brokers, our focus is dedicated to providing our customers with the peace of mind that what matters most will be protected through unrelenting advocacy and tailored insurance solutions. Our growing team of professionals across North America represents a broad, deep, and unique aggregation of entrepreneurs and leaders recognized for their excellence throughout the insurance community.
About HUB Retirement & Private Wealth (RPW):
We lead our communities with integrity, driven to make things better, both now and in the future. We serve, inspire, and thrive while maintaining an entrepreneurial spirit. We innovate, collaborate, and achieve success together, focused on the tomorrows for all.
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. The SVP of Compliance (“SVP”), HUB Retirement and Private Wealth (“RPW”), will be a highly visible leadership position, reporting directly to the Global/Executive Chief Compliance Officer of RPW, working closely with RPW senior leadership to collectively support the growing RPW business. HUB owns several SEC and FINRA regulated entities which the SVP will support to provide consistent compliance support, implementation, and recommendations.
The SVP is expected to assist in the design, implementation, and maintenance of an efficient and effective centralized RPW compliance organization.
The SVP will be responsible for aiding in the development and maintenance of compliance policies and procedures for all Hub-affiliated registered investment advisers and their respective supervised persons. The SVP will also aid in the coordination of regulatory and compliance initiatives, conduct periodic and annual risk assessments, and draft regulatory compliance bulletins applicable to RIAs. The SVP may also oversee and manage special projects as needed.
Specific Responsibilities and Goals
Help develop and administer uniform policies, procedures, and best practices designed to prevent violations of the federal securities laws and serve as the primary contact for regulatory agency inquiries and examinations for all affiliated entities.
Help establish appropriate controls necessary to ensure compliance by the RIAs.
Aid in the enhancement and execution of compliance initiatives to demonstrate the strength and sustainability of RPW’s compliance program, including:
Using a risk-based approach, conduct ongoing compliance reviews and surveillance to evaluate and test for compliance with applicable rules, regulations, and policies;
Deliver the Firm’s compliance training program, including appropriate training for new employees as well as ongoing training for all employees;
Identifying and assisting in the development of workable action plans for correcting material compliance weaknesses;
Identifying additional necessary technology and resources;
Assisting in the development of compliance monitoring of transactional data to assess the adequacy of the policies and procedures.
Participate in monitoring of investment guidelines for clients of the Firm.
Position Requirements
Bachelor’s degree. JD a plus.
Relevant compliance experience with a Registered Investment Advisor, including at least 5-7 years supporting a compliance program under the Investment Advisers Act of 1940. Experience developing, monitoring, and enforcing appropriate policies and procedures.
Fluent in all SEC-registered investment advisor rules and regulations, including the Investment Advisors Act of 1940, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives.
Ability to confront difficult issues and challenge others when necessary.
Strong negotiating and conflict resolution skills.
Proven ability to identify, solve, and prevent compliance issues.
Ability to clearly and effectively communicate and escalate issues to management.
Collegial and collaborative approach working effectively with others to build strong professional relationships.
Outstanding written and verbal communication skills with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
Outstanding organizational skills, including prioritizing and follow-up.
Ability to handle competing demands and priorities.
The expected pay range for this position is $150,000 to $175,000 and will be impacted by factors such as the successful candidate’s skills, experience, and work location, as well as the specific position’s business line, scope, and level. HUB International is proud to offer comprehensive benefit and total compensation packages which could include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits, and eligible bonuses and commissions for some positions.
WHY CHOOSE HUB?:
Throughout our network of more than 530 HUB offices in North America, we offer a competitive, exciting, and friendly work environment that strategically positions our employees for longevity and success. At HUB, we believe in investing in the future of our employees and provide continuous opportunities for growth and development. Our entrepreneurial culture fosters an environment that empowers our people to make the best decisions for our customers and organization, focusing on expanding the industry knowledge of our insurance professionals to better serve our valued clients. We are committed to providing you with competitive and flexible benefits options that are rooted in your current needs yet evolve as your needs change over time. Join us in taking the first step toward creating a future that combines a diverse, challenging work environment with financial security and career satisfaction.
We are the perfect fit if you:
Are seeking a progressive work environment at a rapidly growing organization
Have a desire to help others protect their future
Have an entrepreneurial spirit and are challenged by the opportunity to grow the business
Are focused on learning and development to enhance your industry knowledge and expertise
Are a self-starter willing to invest time and energy to learn the technical aspects of our business
Believe in integrity and building success by developing relationships with others
Department: Legal
Required Experience: 7-10 years of relevant experience
Required Travel: Up to 25%
Required Education: Bachelor's degree (4-year degree)
HUB International Limited is an equal opportunity and affirmative action employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations.
This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
#J-18808-Ljbffr