ABOUT HUB :
In a rapidly changing world, HUB advises businesses and individuals on how to prepare for the unexpected. As one of the worlds' 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.
About HUB Retirement & Private Wealth (RPW) : We lead our communities with integrity, driven to make things better, both now and in the future.
We serve, inspire, and thrive while maintaining an entrepreneurial spirit. We innovate, collaborate, and achieve success together, focused on the tomorrows for all.
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 S VP, Compliance and Risk Officer , Hub Retirement and Private Wealth ( RPW ), will be a highly visible, senior leadership position, reporting directly into the Global / Executive Chief Compliance and Risk Officer, working closely with the RPW and RPW senior leadership to collectively support the growing RPW business while mitigating risk.
This position will be in support of RIAs owned by Hub International in the areas of portfolio compliance and investment monitoring.
HUB’s Retirement and Private Wealth US Investments Compliance team is seeking candidates for the following position based in the Dallas office. This is a hybrid role.
SVP Risk & Compliance - Portfolio Compliance
What can you expect?
This position plays a critical role in developing and administering our portfolio compliance program for our clients and model portfolio of funds.
The role is responsible for supporting the design and implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guidelines.
This role affords the opportunity to work closely with different functional teams within our business, including Investment Committees, Client Service and Operations.
The successful candidate can expect to acquire knowledge of the SEC regulatory regime while developing a strong network within the team and also across the firm.
This role reports directly to the RPW Executive Chief Compliance & Risk Officer.
We Will Count On You To
Support the process on implementing new guidelines and guideline changes and ensure proper pre-trade and post-trade controls
Work with system providers on rule creation, rule testing and rule maintenance
Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution
Perform reporting and analysis to detect guideline breaches and monitor all outstanding issues through resolution
Participate in ad hoc and / or strategic projects, such as process developments and improvements, scenario analysis, and technology testing
You will travel and meet with business leaders periodically
What You Need To Have
Minimum 4 to 6 years of relevant experience in the investment management industry and strong knowledge of investment instruments
Familiarity with investment-related regulations and portfolio monitoring tools
Undergraduate degree in Finance, Economics, Accounting or similar fields
Strong critical thinking skill and excellent attention to detail
Effective verbal and written communication skills, ability to work in a team environment, and capable of managing projects effectively
Ability to exercise sound independent judgement to resolving problems or identifying issues requiring escalation, take charge and drive to conclusions
What Makes You Stand Out
CFA designation or active status in the CFA program a plus
Working knowledge on investment-related applications and SEC rules.
The expected pay range for this position is $150,000 to $175,000 and will be impacted by factors such as the successful candidate’s skills, experience, and work location, as well as the specific position’s business line, scope, and level.
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, and eligible bonuses, and commissions for some positions.
WHY CHOOSE HUB? :
Throughout our network of more than 530 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
Department Risk Management & Loss Control
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 at .
EEOAA Policy ()
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com . This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
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