Senior Compliance Examiner

Hub International Insurance•Carlsbad, CA

3d•Hybrid

About The Position

The Senior Compliance Examiner serves as an independent voice in maintaining the integrity and regulatory compliance of HUB Retirement & Private Wealth’s SEC-registered investment advisory firm. The firm provides fee-based investment advice to individuals and retirement plans, financial planning, and consulting services subject to fiduciary standards under the Investment Advisers Act of 1940. The examiner independently plans, conducts, and reports on branch-level audits across a geographically distributed network of more than 700 supervised persons. The role assesses compliance with SEC regulations, firm policies, and applicable state laws; communicates findings and risk trends to branch personnel and senior leadership; and supports ongoing improvements to the compliance program through timely, metric-driven insight. Approximately 30%–40% of audits are conducted onsite, and the role involves travel to branch locations.

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 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 (RIA) 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% onsite at branch locations.
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 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 resolution, maintaining documentation of remediation steps.
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 based on audit findings and regulatory developments.
Maintain current knowledge of SEC regulations, FINRA guidance, and industry best practices applicable to registered investment advisors.