Hub International Compliance Specialist in Concord, California

About HUB International:

HUB International Limited (“HUB”) is the 7th largest global insurance and employee benefits broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. With over 10,000 employees in 450 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions.

About the Position:

Hub International Investment Services, Inc. is seeking a Compliance Supervisor to join our rapidly growing team. This position will supervise representatives and advisors throughout the US. This position will require annual travel to various office locations for training, supervision and auditing purposes. Flexible schedules with some remote days may be allowed in this role.

Basic Qualifications:

• Series 7, 24 (required) 63/65 or 66 and life insurance license (preferred)

• Minimum 3 years broker-dealer/RIA/licensing and compliance experience

•Bachelor’s degree or equivalent work experience or a combination or education and work experience

• Supervisory and management skills

• Strong attention to detail and eagerness to investigate and research

• Recognize need for, and then execute, training based on representative / advisor deficiencies

• Highly organized and ability to prioritize and multi-task in a fast-paced environment

• Strong oral and written communication skills including Excellence in Microsoft office

• Professional and courteous problem solving and trouble-shooting of inquiries from registered representatives, new representatives and staff.

• Ability for up to 20% travel

Role Description & Responsibilities:

• Respond to diverse internal and external inquiries and questions in connection with three primary lines of business performed through the Broker-Dealer, Registered Investment Advisor (RIA) and Insurance Agency.

• Provide effective training on websites, books and records, FINRA, SEC and state Rules and Regulations in addition to Firm Policies and industry best practice to Registered Reps and internal staff as needed. Ensure external and internal policies and procedures are being followed by registered representatives and staff on a regular basis and in a timely manner.

• Act as a bridge between Cambridge Investment Research, Inc. and HUB as well as being designated as their OSJ Supervisor.

• Develop networking relationships with other HUB departments such as accounting, insurance and investment marketing, RIA and operations.

• Develop networking relationships with OSJ supervisors and branch offices.

• Active participant in routine regulatory examinations, gathering and delivering reports and data requested.

• Active participant in review and updates to Written Supervisory Procedure manuals, Form ADV, related schedules and brochures.

• Active participant in risk-based review of registered representatives’ Outside Business Activities, including review of banking and credit information.

• Work closely with our CCO to develop and update department procedures and processes.

• Maintain a good on-going knowledge of industry regulations and develop and communicate changes with highest impact to our business lines.

Advertising/Social Media

• Review and approve Registered Representatives advertising submissions, business cards, and websites.

• Monitor e-mail review system (Smarsh) keeping current with weekly domain reports for successful archiving of member office e-mails and items escalated for follow-up.

• Review and approve correspondence submitted by member offices. Follow-up on issues or concerns with the Registered Representative or OSJ Supervisor.

Exception Reports

• Review of direct business and brokerage exception reports. Follow-up as necessary.

• Recommend and develop new exception reports as the business expands or changes.

Control Tests

• Participate in FINRA Rule 3130 and SEC 206(4)-7 procedure control tests and supervisory surveillance as assigned, prepare report of findings.

• Work with CCO to recommend enhancements and training needs.

• Conduct branch examinations; prepare report of findings for each examination, summarizing findings for senior management.

• Participate with Director and CCO in the development of annual examination schedule based on risk factors and examination cycle.

• Conduct customer complaint review and research, U4/U5 updates, disclosure reviews and 4530 filings.

• Monitor reports from the FINRA WebCRD system.

• Responsible for communication of branch/employee changes.


Location: United States, California, Concord
Required Education: Bachelor's degree (4-year degree)
Required Experience: 2-5 years
Required Travel: Up to 25%
Date published: 29-May-2018
Department: Business Operations
Ref#: P2885_20180523

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 at .

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