Job Description

Chief Compliance Officer, Retirement & Private Wealth

Apply now for the Chief Compliance Officer, Retirement & Private Wealth role at HUB International .

About Us

At HUB International , we are a team of entrepreneurs who protect and support the aspirations of individuals, families, and businesses. We help clients evaluate their risks and develop tailored solutions, empowering employees to learn, grow, and make a difference. Our global presence and regional cultures are supported by corporate centers of excellence. HUB is one of the largest global insurance and employee benefits brokers, offering a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth products. With over $5billion in revenue and nearly 20,000 employees in 600 offices across North America, HUB has grown substantially, in part due to industry-leading success in mergers and acquisitions.

Job Summary

The Chief Compliance Officer for Retirement and Private Wealth will assist the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment adviser and FINRA compliance policies and procedures. Key duties include conducting mandatory SEC annual risk assessments, enforcing the Code of Ethics, and identifying, recommending, and implementing compliance efficiencies to enhance daytoday SEC compliance.

Responsibilities

• Aid in administering and following up on the firms Code of Ethics and other policies designed to prevent violations of federal securities laws.
• Conduct ongoing compliance reviews, internal investigations, and surveillance to evaluate and test adherence to SEC rules, regulations, and internal policies.
• Recommend actionable plans for correcting material compliance weaknesses.
• Keep uptodate on new regulatory requirements and communicate best practices to staff.
• Prepare an annual written report to leadership on the operation, adequacy, and effectiveness of policies and procedures supporting Rule206(4)-7.
• Oversee email surveillance, personal trade reviews, and marketing material reviews.
• Develop and support SEC compliance training and education initiatives for RPW RIAs.
• Assist in documenting collections for internal and external examinations by auditors and regulators.
• Respond to RPW business inquiries and requests.
• Lead adhoc regulatory projects and other requirements as necessary.

Compliance Operational Responsibilities

• Manage the annual ADV process, including data collection and completion of ADV forms.
• Participate in investment due diligence for SEC compliance and/or operational reviews as needed.

Requirements

• Juris Doctor (JD) degree and strong understanding of corporate governance, compliance, and strategic business initiatives.
• 10+ years of senior SEC regulatory compliance experience in a large financial services firm or inhouse legal team.
• Experience leading a team and preferably leading a function as the senior leader.
• Solid familiarity with investment adviser business activities.
• Experience developing, monitoring, and enforcing appropriate policies and procedures.
• Ability to confront difficult issues and challenge others when necessary.
• Excellent verbal and written communication skills, particularly the ability to clearly communicate technically complex SEC regulatory developments in actionable ways.
• Ability to meet tight deadlines and prioritize a varied workload in a fastpaced environment.
• Public speaking, oral presentation, and written skills are a plus.
• Strong negotiating and conflictresolution skills.
• Collegial and collaborative approach to building strong professional relationships both internally and externally.
• Outstanding organizational skills, including prioritization and followup.

Join Our Team

Do you believe in innovation, collaboration, and transformation? Thrive in a supportive, clientfocused environment? Join HUB International to help build and drive change in a rapidly growing organization. You will be part of a community of learners and doers focused on our core values: entrepreneurship, teamwork, integrity, accountability, and service.

Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington: The expected salary range for this position is $160,000 to $180,000 and may be impacted by the candidates skills, experience, and location. HUB International offers comprehensive benefits, including health/dental/vision/life/disability insurance, FSA, HSA, 401(k) accounts, paidtimeoff, bonuses, equity, and commissions for some positions.

Department Legal

Required Experience: 1015 years of relevant experience
Required Travel: Up to 25%
Required Education: Bachelors degree (4year degree)

Legal and Accessibility

HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race, ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or veteran status.

We endeavor to make this website accessible to all users. For assistance with the application process or accessibility requests, contact the recruiting team at HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only.

Job Tags

Similar Jobs