Senior Vice President Compliance

4 weeks ago

Houston, Texas, United States HUB International Full time
About the Role

We are seeking a highly experienced Compliance Leader to join our team at HUB International. As a key member of our Legal department, you will be responsible for designing, implementing, and maintaining an efficient and effective centralized compliance organization.

As a Compliance Leader, you will assist in the development and maintenance of compliance policies and procedures for all Hub-affiliated registered investment advisers and their respective supervised persons. You 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.

Key Responsibilities:

  • 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; and
    • Assisting in the development of compliance monitoring of transactional data and to assess the adequacy of the policies and procedures.
  • Participate in monitoring of investment guidelines for clients of the Firm.

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.
  • 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.

We offer a competitive salary range of $150,000 to $175,000, comprehensive benefits, and opportunities for growth and development.

Why Choose HUB International?

We are a rapidly growing organization with a strong entrepreneurial culture. We believe in investing in the future of our employees and provide continuous opportunities for growth and development. Our team is dedicated to providing exceptional service to our clients and we are committed to making a positive impact in our communities.

We are an equal opportunity employer and welcome applications from diverse candidates. If you are a motivated and experienced Compliance Leader looking for a new challenge, please submit your application.

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