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.

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 advisor and/or FINRA compliance policies and procedures. This includes enhancing and developing SEC compliance programs and infrastructure. A key initiative is identifying, recommending, and implementing compliance and operational SEC efficiencies to enhance the day‑to‑day SEC compliance program.

Compliance

• Aid in the administration and follow up of the firm’s Code of Ethics and other policies and procedures designed to prevent violations of 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 and 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.

Compliance Operational

• 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 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, issues, and analysis in actionable ways.
• The ability to meet tight deadlines and prioritize a varied workload and competing priorities in a fast‑paced, and at times unpredictable or demanding environment.
• Public speaking as well as oral presentation and written skills a plus.
• Strong negotiating and conflict resolution skills.
• Collegial and collaborative approach to working effectively with others to build strong professional relationships both inside and external…