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HUB International · 4 months ago

Deputy Chief Compliance and Risk Officer, Retirement & Private Wealth

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

$150K/yr - $170K/yr

10+ years exp

HUB International is a leading global insurance and employee benefits broker, providing tailored solutions to clients. They are seeking a Deputy Chief Compliance and Risk Officer for their Retirement & Private Wealth division to assist in implementing and maintaining SEC compliance policies while enhancing the compliance infrastructure.

Financial ServicesInsuranceInsurTechRisk Management

Responsibilities

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

Qualification

SEC complianceJuris Doctor (JD)Regulatory complianceInvestment advisor experiencePolicy developmentTeam leadershipCommunication skillsNegotiation skillsOrganizational skills

Required

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 to HUB RPW

Outstanding organizational skills, including prioritization and follow-up