HUB International Limited (“HUB”), the world’s 5th largest insurance and employee benefits broker, provides a broad array of property, casualty, risk management, life and health, employee benefits, investment advisory and wealth management products and services. With over 12,000 employees in 550+ offices throughout North America, HUB has grown substantially due in part to our industry leading success in mergers and acquisitions (with over 60 acquisitions due to close in 2019 and over 600 closed since HUB’s inception).
Over the last 18 months, HUB has sought to aggressively expand its 401(k) advisory, retirement, and wealth management practices (growing the business by almost 8 times over that same timeframe) and is now looking for a commercially centered attorney with a broad business and financial services background in corporate structure, governance and finance to serve as our first Deputy General Counsel, Retirement and Private Wealth (the “DGC”) in support of this rapidly growing vertical. The Deputy General Counsel will serve as lead counsel, head of compliance, and a strategic advisor with a focus on regulatory matters, M&A, finance, internal audit, compliance and technology matters and will manage/supervise HUB’s growing Retirement and Private Wealth compliance team (currently 10 compliance professionals).
The DGC and the compliance team will also be responsible for developing, updating and maintaining compliance policies and procedures, tracking and analyzing regulatory developments, and coordinating and implementing regulatory and compliance initiatives, including risk assessments and other special projects, as needed. This position will report directly to the Chief Legal Officer of Hub International Limited and will interact closely with the National President, Retirement and Private Wealth Services and other members of the senior management team. This position can be based at any of HUB International's offices located throughout the United States of America or Virtual.
The ideal candidate should have demonstrated the ability to analyze, design, and execute complex initiatives involving multiple parties, varied personalities and, at times, differing perspectives and priorities, as well as meaningful experience in the areas of responsibility noted below.
Areas of Responsibility :
Partner with President of Retirement in the creation of new programs and capabilities that are designed to help HUB and our advisors reach more participants by servicing more retirement plans
Support management of firm compliance programs including coordinating and responding to regulatory examinations, inquiries, and subpoenas, managing relationships with regulators and auditors, including the SEC, DOL, and FINRA, preparing regulatory filings/reports, and developing and delivering internal training in compliance and regulatory matters
Analyze new and updated federal and state laws, regulations, guidance and enforcement actions and determining relevance to HUB’s Retirement and Private Wealth Services Practice
Discuss relevant regulatory developments with Legal and Compliance coverage and business personnel to assure awareness and help determine whether updates to policies and procedures are required
Document and track implementation of new regulatory initiatives
Develop and draft compliance policies and procedures through collaboration with the business, legal, compliance, and other stakeholders
Support mergers and acquisitions activity as a subject matter expert on regulatory issues related to the Retirement and Private Wealth Practice
Assist with responding to litigation and related claims, including document review and production of documents in coordination with outside counsel
Reduce as much as practical the reliance on outside counsel for decision support on business growth and management activities
JD and 7+ years financial industry experience (either at a law firm or in-house), licensed to practice law, and membership in good standing with a U.S. state bar
Familiarity with, and ability to analyze and assess relevant legal and regulatory developments impacting retirement and wealth management, including FINRA, SEC, Investment Advisers Act of 1940, NYSE, NYSE MKT, and other stock exchange rules and regulations, and applicable states laws and regulations; ERISA knowledge not required, but preferred
Ability to analyze and assess new rules and regulations
Strong verbal and written communications skills
Ability to bring a group with varied interests to consensus
Strong organizational skills
Ability to work independently with minimal supervision
Experience managing other professionals
Critical thinking and analysis
Project management experience preferred
Good judgment, leadership skills and delivery-oriented attitude
Sense of humor, professional work ethic and team player
Proficient with Microsoft Office products
Required Travel: Limited but some level of business travel
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 http://www.dol.gov/ofccp/regs/compliance/posters/ofccpost.htm .
EEOAA Policy at https://hubinternational.jobs/eeo/
E-Verify Program at https://hubinternational.jobs/e-verify/
We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the US Recruiting Team toll-free at (844) 300-9193 or USRecruiting@hubinternational.com . This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
To apply for this post, please click the below link:
Application Deadline: 17 Dec 2019
Company Website: .
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