Chief Compliance Officer, Retirement & Private Wealth

ABOUT US

At HUB International , we are a team of entrepreneurs. We believe in protecting and supporting the aspirations of individuals, families, and businesses. We help our clients evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees to learn, grow, and make a difference. Our structure enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence.

HUB is one of the largest global insurance and employee benefits broker, providing a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and almost 20,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions.

This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This position is supporting HUB International’s Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer :
The Deputy Chief 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 RPW senior leadership to collectively support the growing RPW business while mitigating risk and enhancing the SEC compliance infrastructure.

The Chief Compliance Officer for Retirement and Private Wealth will be responsible for assisting the Global / Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and / or FINRA compliance policies and procedures. This means assisting in enhancing and developing SEC compliance programs and infrastructure. This includes conducting mandatory SEC annual risk assessments and establishing and enforcing the Code of Ethics.

A key initiative is identifying, recommending and implementing compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program.

• Aid in the administration and follow up of the firm’s Code of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940;
• Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies;
• Recommend workable action plans for identifying and correcting material compliance weaknesses;
• Keep up to date with new regulatory requirements and ensure communication of best practices / new rules to appropriate staff within the Firm.
• Assist in preparing an annual written report to leadership on the operation, adequacy, and effectiveness of the policies and procedures which support Rule 206(4)-7.
• Email surveillance / personal trade reviews / marketing material reviews
• Develop and support SEC compliance training and education initiatives for RPW RIAs.
• Assist in document collection related to internal and external examinations by auditors and regulators;
• Be responsive to RPW business inquiries and requests;
• Run point on ad hoc regulatory projects and other requirements as necessary.

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

• Must possess a Juris Doctor (JD) degree and demonstrate a strong understanding of legal principles relevant to corporate governance, compliance, and strategic business initiatives.
• 10+ years’ experience as a senior SEC regulatory compliance professional for either a large financial services firm or in-house Legal team.
• Experience leading a team and preferably, leading a function as the senior leader of that function.
• Solid familiarity with investment advisor…