Senior Compliance Auditor – SEC, Branch Audits, Hybrid

50193 RPW Solutions, LLC; Carlsbad (CA); Hybrid; USD 115,000 - 125,000; Full time

Benefits offered by this job

Medical, Vision, Dental

401(k) match

Company Paid STD

Life Insurance

Parental leave

Job summary

HUB International is seeking a Senior Compliance Examiner to lead branch audits and ensure SEC-regulated fiduciary standards across 700+ supervised persons. You will draft comprehensive reports, drive remediation, and present risk analyses to senior leadership.

The role requires strong analytical skills, travel (30–40%), and the ability to communicate complex findings to C-suite audiences. Hybrid work with comprehensive benefits is offered.

Qualifications

• Bachelor's degree or equivalent; 5+ years in compliance or auditing within financial services.
• Strong knowledge of SEC Investment Advisers Act and fiduciary standards.
• Ability to manage a high-volume audit calendar with on-site travel.

Responsibilities

• Plan and execute ~70 branch audits annually, including 30–40% on-site.
• Assess compliance with SEC regs, firm policies, and state laws across advisory services.
• Interview supervised persons and branch principals to evaluate ethics and control gaps.
• Draft detailed audit reports with findings, risk levels, and corrective actions.
• Track remediation items to closure and report firm-wide risk trends.

Skills

Analytical thinking

Attention to detail

Time management

Collaboration

Integrity & discretion

Education

Bachelor's degree or equivalent

Tools

GRC platforms

Job description

HUB International is seeking a Senior Compliance Examiner to lead branch audits and ensure SEC-regulated fiduciary standards across 700+ supervised persons. You will draft comprehensive reports, drive remediation, and present risk analyses to senior leadership.

The role requires strong analytical skills, travel (30–40%), and the ability to communicate complex findings to C-suite audiences. Hybrid work with comprehensive benefits is offered.