Sr Director, Regulatory Compliance

HUB International•Des Plaines, IL

2d•$170,000 - $190,000•Remote

About The Position

As a growing business unit of HUB International, VIU continues to expand rapidly through strategic partnerships and acquisitions. With this growth, we face increasing regulatory and security challenges, particularly in ensuring compliance with the Gramm-Leach-Bliley Act (GLBA) and the management of SOC2 certifications. To address these challenges and position VIU by HUB for continued success, we are seeking a Sr. Director, Regulatory Compliance. This role is pivotal in ensuring our practices align with industry standards, meeting the expectations of both our enterprise stakeholders and strategic financial institution partners. This role requires close collaboration with HUB International enterprise compliance and security teams to ensure seamless integration of governance processes and frameworks. It will also act as a key point of contact for external and internal stakeholders to address compliance-related concerns and drive confidence in our operations.

Requirements

Bachelor’s degree in Business, Information Security, or a related field or equivalent work experience.
Minimum of 8 years of experience in compliance, risk management, or information security, preferably within financial or insurance sectors
Strong understanding of GLBA, SOC2, and third-party risk management frameworks.
Demonstrated ability to conduct compliance assessments and implement corrective action plans.
Exceptional communication and collaboration skills, with a proven ability to work across teams and manage multiple stakeholders.
Detail-oriented and organized, capable of managing multiple priorities and meeting deadlines.
Direct experience working with banking clients or in a banking compliance role.
Familiarity with insurance industry regulations and standards.
Experience supporting compliance programs in organizations with strategic partnerships.

Nice To Haves

Professional certifications such as CISA, CISM, or CRISC are a plus.

Responsibilities

GLBA Compliance Assessments: Conduct thorough assessments of the current state of GLBA compliance across VIU by HUB. Identify gaps and areas for improvement, particularly as they relate to managing banking clients and partnerships. Collaborate with internal teams to develop and implement corrective action plans, ensuring alignment with banking regulations and enterprise standards.
SOC2 Certification Management: Lead the ongoing maintenance and maturity of SOC2 compliance efforts for VIU by HUB. Ensure adherence to audit requirements and support annual certification renewals. Proactively identify opportunities for process improvement and greater operational efficiency.
Third-Party Risk Management (TPRM): Partner with enterprise security and compliance teams to ensure robust TPRM practices are in place. Evaluate new and existing vendors to confirm compliance with VIU by HUB’s standards and regulatory requirements. Implement due diligence processes to mitigate risks associated with third-party relationships.
Strategic Partner Compliance Support: Serve as the primary compliance liaison for VIU by HUB’s strategic partnerships, with a focus on banking and mature strategic partnership needs. Coordinate with the enterprise security/compliance teams to submit and review compliance questionnaires for current and emerging partnerships, ensuring timely and accurate responses. Collaborate with enterprise compliance teams to address new and evolving compliance challenges related to the platform and strategic partnership needs.
Collaboration and Governance: Work extensively with HUB International’s enterprise compliance and security teams to align on the in-place governance frameworks, policies, and processes. Act as a trusted advisor to internal teams, ensuring compliance requirements are understood and integrated into daily operations. Provide regular updates and reports to leadership on the status of compliance initiatives and projects.