Deputy Chief Compliance and Risk Officer, Retirement & Private Wealth

Hub International

  • New York City, NY
  • $150,000-170,000 per year
  • Permanent
  • Full-time
  • 15 days ago
ABOUT USAt 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.Job Summary:The Deputy Chief Compliance and Risk Officer 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.Responsibilities: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 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.
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
Requirements:
  • 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
  • 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 to HUB RPW.
  • Outstanding organizational skills, including prioritization and follow-up.
JOIN OUR TEAMDo you believe in the power of innovation, collaboration, and transformation? Do you thrive in a supportive and client focused work environment? Are you looking for an opportunity to help build and drive change in a rapidly growing and evolving organization? When you join HUB International, 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 states: The expected salary range for this position is $150,000 to $170,000 and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level. If you believe that your qualifications and experience surpass the minimum requirements for this role, we encourage you to submit your application. By doing so, we will be able to keep your application on file for consideration for potential future positions within our organization. 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 such as vacation, sick, and personal days, and eligible bonuses, equity and commissions for some positions.Department LegalRequired Experience: 10-15 years of relevant experienceRequired Travel: Up to 25%Required Education: Bachelor's degree (4-year degree)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'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 recruiting team . This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.

Hub International