Senior Vice President Compliance

4 weeks ago

San Francisco, California, United States 5H0 Hub International Limited Full time

About 5H0 Hub International Limited:

HUB International Limited is a leading insurance broker that advises businesses and individuals on how to prepare for the unexpected. 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 that put our clients in control.

About the Role:

We are seeking a highly experienced Compliance and Risk Officer to join our multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. The Senior Vice President, Compliance and Risk Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with the RPW and RPW senior leadership to collectively support the growing RPW business while mitigating risk.

Key Responsibilities:

  • Develop and administer our portfolio compliance program for our clients and model portfolio of funds.
  • Support the design and implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guidelines.
  • Work closely with different functional teams within our business, including Investment Committees, Client Service and Operations.
  • Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution.
  • Perform reporting and analysis to detect guideline breaches and monitor all outstanding issues through resolution.
  • Participate in ad hoc and/or strategic projects, such as process developments and improvements, scenario analysis, and technology testing.

Requirements:

  • Minimum 4 to 6 years of relevant experience in the investment management industry and strong knowledge of investment instruments.
  • Familiarity with investment-related regulations and portfolio monitoring tools.
  • Undergraduate degree in Finance, Economics, Accounting or similar fields.
  • Strong critical thinking skill and excellent attention to detail.
  • Effective verbal and written communication skills, ability to work in a team environment, and capable of managing projects effectively.

What We Offer:

HUB International Limited 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 International Limited:

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.

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