AVP, Compliance San Rafael, CA
In a rapidly changing world, HUB advises businesses and individuals on how to prepare for the unexpected. As one of the world's largest insurance brokers, our focus is dedicated to providing our customers with the peace of mind that what matters most will be protected-through unrelenting advocacy and tailored insurance solutions that put our clients in control. Our growing team of professionals across North America represents a broad, deep and one-of-a-kind aggregation of entrepreneurs and leaders recognized for their excellence throughout the insurance community.
WHY CHOOSE HUB?
Throughout our network of more than 450 HUB offices in North America, we offer a competitive, exciting and friendly work environment that strategically positions our employees for longevity and success. At HUB, we believe in investing in the future of our employees, and provide continuous opportunities for growth and development . Our entrepreneurial culture fosters an environment that empowers our people to make the best decisions for our customers and organization, focusing on expanding the industry knowledge of our insurance professionals to better serve our valued clients. We are committed to providing you with competitive and flexible benefits options that are rooted in your current needs, yet evolves as your needs change over time. Join us in taking the first step toward creating a future that combines a diverse, challenging work environment with financial security and career satisfaction.
We are the perfect fit if you:
·are seeking a progressive work environment at a rapidly growing organization
·have a desire to help others protect their future
·have an entrepreneurial spirit and are challenged by the opportunity to grow the business
·are focused on learning and development to enhance your industry knowledge and expertise
·are a self-starter willing to invest time and energy to learn the technical aspects of our business
·believe in integrity and building success by developing relationships with others
This position reports to the Senior Compliance Analyst of Global Retirement Partners, LLC, an SEC registered investment advisor, and operating under the HUB umbrella.
·Preparation and delivery of written and verbal training to advisor teams and home office personnel
·Collaboration in firm level annual risk assessments
·Identification and enforcement of regulatory rule infractions and violations
·Management of compliance team projects
·Execution of daily supervision and compliance tasks
·RIA customer complaint escalation
·Maintenance of RIA firm books and records
·Identification of appropriate registration and disclosure requirements for advisor teams
·Conduct and/or support onsite or virtual branch audits
·Training and support of advisor teams for LPL Financial branch audits
·Management of compliance resources on firm website
·Oversite of new hire and termination status of advisor teams
·Supervision of sales practices of advisor teams
·Oversight of multiple custodian and money manager compliance procedures
·Ongoing operational service and support of advisor teams
·Ongoing support of executive level compliance leadership
The expected salary range for this position is $67,000.00 - $105,000.00 and will be impacted by factors such as the successful candidate's skills, experience, education and licensing certifications, geographic location, approved salary budget, as well as the specific positions business lines, complexity, scope and level. HUB International is proud to offer comprehensive benefits and total compensation packages which includes health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits, eligible bonuses and commissions for full-time positions (30 hours or more).
WHAT YOU BRING TO THE TABLE:
·5-10 years of experience in financial services compliance
·Bachelor's Degree or equivalent work experience in the financial services industry
·Risk assessment, problem-solving and decision-making skills
·Series 7, 66 and 24
·Familiarity with Retirement/Pension plans preferred
·Self-driven and able to work well independently in deadline-oriented environment
·Excellent Written and verbal communication skills
·Proficient in MS Office products
·Experience with Orion Advisor technology a plus
Join the HUB team and watch your career take off! Apply today!
Department Account Management & Service
Required Experience: 5-7 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.