Senior Vice President Compliance Lead

4 weeks ago

Étreux, Hauts-de-France, United States HUB International Full time

About HUB International:

HUB International 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 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.

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 Senior Vice President of Compliance 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 support the growing RPW business.

The Senior Vice President is expected to assist in the design, implementation, and maintenance of an efficient and effective centralized RPW compliance organization.

The Senior Vice President 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 Senior Vice President 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 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.

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.
  • 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. 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 International:

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 International, we believe in investing in the future of our employees and provide continuous opportunities for growth and development.

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.

We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the US Recruiting Team toll-free at (844) 300-9193 or USRecruiting@hubinternational.com. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.

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