Compliance Officer, Retirement & Wealth Planning Austin, TX
About HUB International
HUB International Limited (“HUB”) is a fast-growing, global insurance brokerage providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Ranked 5th among the world’s largest insurance brokers and acquiring more than 70 new businesses a year, HUB has over 16,000 employees in more than 650 offices throughout North America. As a 2021 Gold Award Winner of the Stevie Award for Great Employers, HUB also boasts a top company culture that is collaborative and focused on its employees to deliver great results for its clients. Headquartered in Chicago, HUB is currently owned by a group of investors led by lead investor Hellman & Friedman, one of the world’s largest and most respected private equity firms that recently closed the largest PE fund of 2021 and one of the largest funds of all time. For more information, please visit hubinternational.com.
HUB offers a competitive compensation package, which may include annual bonus opportunities.
About The Position
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. The Compliance Officer ( C O ), Hub Retirement and Private Wealth (“RPW”), will be a highly effective and hands on leader reporting directly into Global/Executive Chief Compliance Officer. This position will be in support of an RIA located in Austin, TX. The position is hybrid. On-site visits at least once every other week depending on residence in Texas. This may include Austin, San Antonio, and/or Dallas metro areas.
The CO will be responsible for assisting the Executive Chief Compliance Officer in implementing, updating, and maintaining compliance policies and procedures. The CO will assist in compliance initiatives, conducting periodic and annual risk assessments, identifying, day to day compliance tasks such as reviews of trading exceptions, reports, Code of Ethics certifications and otherwise engaging in special projects as needed.
Specific Responsibilities and Goals
Review trades in client portfolios and run reports and follow up re. exceptions’
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 document collection related to internal and external examinations by auditors and regulators;
Assist in conducting ongoing compliance reviews and surveillance to evaluate and test for compliance with applicable rules, regulations, and policies;
Knowledge regarding trading and execution, allocations and Reg BI;
Assist in conducting compliance training, including appropriate training for new employees as well as ongoing training for all employees;
Recommend workable action plans for identifying and correcting material compliance weaknesses;
Assist in implementing transactional, periodic, and forensic testing programs to assess the adequacy of the policies and procedures;
Participate in monitoring of investment allocations and guidelines for clients of the Firm;
Be responsive to compliance inquiries and requests;
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.
Relevant experience as a Senior Compliance Officer or similar of a Registered Investment Advisor, including at least 3-5 years supporting a compliance program under the Investment Advisers Act of 1940. Experience monitoring and enforcing appropriate policies and procedures.
Proven ability to identify and escalate compliance issues.
Ability to clearly and effectively communicate and escalate issues to management.
Maintain a collegial and collaborative approach to working with others;
Ability to build strong professional relationships;
Solid written and verbal communication skills with demonstrated ability to think analytically and assist in problem solving and implementation of solutions;
Outstanding organizational skills, including prioritizing and follow-up;
Ability to handle competing demands and priorities.
Department General Management
Required Experience: 2-5 years of relevant experience
Required Travel: Up to 25%
Required Education: Bachelor's degree (4-year degree)
HUB International Limited is an equal opportunity and affirmative action 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. The EEO is the Law poster and its supplement is available here athttp://www.dol.gov/ofccp/regs/compliance/posters/ofccpost.htm.
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 US Recruiting Team toll-free at (844) 300-9193 orUSRecruiting@hubinternational.com. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
Hi, we’re HUB.
In a rapidly changing world, we advise businesses and individuals on how to prepare for the unexpected.
When you partner with us, you're at the center of a vast network of experts who will help you reach your goals through risk services, claims management, and compliance support.
And this gives you the peace of mind that what matters most to you will be protected — through unrelenting advocacy and tailored insurance solutions that put you in control.
About HUB International
Headquartered in Chicago, Illinois, HUB International Limited (HUB) is a leading full-service global insurance broker providing property and casualty, life and health, employee benefits, investment and risk management products and services. From offices located throughout North America, HUB’s vast network of specialists provides peace of mind on what matters most by protecting clients through unrelenting advocacy and tailored insurance solutions. For more information, please visit hubinternational.com.