Senior Compliance Examiner

HUB International • Carlsbad, CA

5d • $115,000 - $125,000 • Hybrid

About The Position

The Senior Compliance Examiner serves as an independent compliance resource for HUB Retirement & Private Wealth, an SEC-registered investment advisory firm providing fee-based investment advice, financial planning, and retirement plan consulting under fiduciary standards established by the Investment Advisers Act of 1940. The role independently plans, conducts, and reports on branch-level audits across a geographically distributed network of more than 700 supervised persons, helping ensure compliance with applicable regulations, firm policies, and state laws.

The examiner manages a high-volume audit program of approximately 70 branch audits annually, with 30%–40% conducted onsite. The role reviews branch and client records, interviews supervised persons and branch principals, documents findings and recommended corrective actions, and tracks remediation through resolution. It also identifies firm-wide risk trends, produces metric-driven reports, presents analysis to senior management and the CCO, and collaborates with the compliance team on policies, procedures, and training. The position requires current knowledge of SEC regulations, FINRA guidance, and relevant industry practices.

The role follows a hybrid schedule, Monday through Friday, 8 a.m. to 5 p.m., and requires 30%–40% travel for onsite branch audits. The posted expected salary range is $115,000–$125,000 annually.

Requirements

• Bachelor's degree or an equivalent combination of education and a minimum of 5 years of compliance or auditing experience within the financial services industry.
• Working knowledge of the SEC Investment Advisers Act, fiduciary standards, and applicable state regulations governing investment advisory services, financial planning, and retirement plan consulting.
• Ability to independently manage a high-volume audit calendar, including onsite travel, with strong organization, self-motivation, and follow-through from audit planning through corrective-action resolution.
• Exceptional written and verbal communication skills, including the ability to prepare clear audit reports and present findings, risk trends, and compliance metrics to senior management and C-suite audiences.
• Analytical thinking and sound professional judgment.
• Meticulous attention to detail and follow-through.
• Effective time management across a high-volume audit calendar.
• Collaborative approach with a firm-wide compliance mindset.
• Discretion and integrity in handling sensitive firm and client information.

Nice To Haves

• Compliance or auditing experience with a registered investment advisor or broker-dealer.
• Familiarity with GRC or audit management platforms.
• Experience in a multi-branch environment with 500 or more supervised persons.

Responsibilities

• Plan and execute approximately 70 branch audits annually, including 30%–40% conducted onsite.
• Assess branch compliance with SEC regulations, firm policies, and applicable state laws governing investment advisory services, financial planning, and retirement plan consulting.
• Review branch files, client documentation, fee schedules, and advisory agreements for accuracy, completeness, and regulatory conformance.
• Interview supervised persons and branch principals to evaluate adherence to the Code of Ethics and compliance procedures and identify control gaps.
• Draft detailed audit reports documenting findings, risk levels, and recommended corrective actions, and communicate results to branch management and firm leadership.
• Track and follow up on open audit items and corrective action plans through timely resolution, maintaining accurate remediation documentation.
• Aggregate audit results to identify firm-wide risk trends, patterns, and systemic issues, and develop executive-level reporting using compliance metrics and key risk indicators.
• Present risk trend analyses and audit summaries to senior management and the CCO.
• Collaborate with the compliance team on policy, procedure, and training updates informed by audit findings and regulatory developments.
• Maintain current knowledge of SEC regulations, FINRA guidance, and industry best practices applicable to registered investment advisors.

Benefits

• Medical, vision, and dental benefits.
• 401(k) with company match.
• Company-paid short-term disability and life insurance.
• Parental leave and paid parental leave.
• Hybrid schedule.
• Two weeks of vacation, sick leave, personal days, and floating holidays.
• Company-paid life and disability plans.
• Flexible spending and health savings accounts.
• Wellbeing program.
• Structured training, licensing support, and ongoing development opportunities.
• Potential eligible bonuses, equity, and commissions for some positions.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior