About Us:

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.

ABOUT GRP:

Global Retirement Partners, LLC, a wholly owned subsidiary of HUB International, is an SEC registered investment advisor with over $100B in retirement plan assets under advisement, and $4.5B in individual wealth assets under management. With over 430 advisor representatives in offices throughout the United States, GRP’s financial advisors provide investment services to over 7000 retirement plans and their plan participants, and over 12,000 individual wealth accounts. Due to rapid growth, we are expanding our compliance team and are looking for a seasoned compliance professional to join our team.

WHY CHOOSE GRP?

With offices located in Carlsbad and San Rafael, CA, we offer a collaborative work environment that strategically positions our employees for longevity and success. At GRP, we believe in investing in the future of our employees and providing continuous opportunities for growth and development.  Our entrepreneurial culture fosters an environment that empowers and encourages our people to contribute to the growth of our organization, focusing on helping our advisors protect their businesses from legal and compliance risk. Our company is 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 fast-paced work environment at a rapidly growing organizationHave a desire to help others protect their futureHave an entrepreneurial spirit and are challenged by the opportunity to grow the businessAre focused on learning and development to enhance your industry knowledge and expertiseAre a self-starter willing to invest time and energy to learn the technical aspects of our businessBelieve in integrity and building success by developing collaborative relationships with others

Summary:

This position reports to the SVP Compliance of Global Retirement Partners, LLC, an SEC registered investment advisor.

Duties & Responsibilities:

Perform a wide variety of high-level compliance functions including:

Manage all incoming compliance documents via dedicated email.Determine if in good order and escalate to appropriate departmentOverall responsible for review, approval, and processing of all advisory agreements, including financial planning, TAMP, GRP Promoter Program, all applicable LPL paperwork and agreements, and Plan 3(21) and 3(38) agreementsSign of on all agreements on behalf of GRPContact advisors and/or staff on agreements not in good order with instructions on further actions requiredIdentification of appropriate registration and disclosure requirements for advisor teamsConduct and/or support onsite or virtual branch auditsSupervision of advisor sales practicesOngoing operational service and support of advisor teamsOngoing support of executive level compliance leadership

Compensation:

Salary range:  $75,000-$100,000

This range is 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, and eligible bonuses for full-time positions (30 hours or more).

What we are seeking:

3 or more years of experience in financial services complianceBachelor's Degree or equivalent work experience in the financial services industryRisk assessment, problem-solving and decision-making skillsSeries 7, 66 and 24Familiarity with Retirement/Pension plans preferredAdaptability and drive to work well in a deadline-oriented environmentExcellent written and verbal communication skillsProficient in MS Office products

Required Experience: 5-7 years of relevant experience

Required Travel: Up to 25%

Required Education:  Bachelor’s degree (4-year degree)

Join the GRP/HUB team and watch your career take off! Apply today!

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Department Business Operations

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 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.

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