Senior Compliance Examiner

Hub International; 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

A path for every ambition. At HUB, we believe the best work happens when people are given real space to grow and then given the autonomy to exercise it. We power progress and protect ambition: for the clients who count on us, and equally for the people who make that possible every day. We’re creative thinkers and determined doers, guided by values that show up in how we work together: with empathy, adaptability, accountability and a genuine commitment to one another’s success. We foster bold ideas, celebrate curiosity and share what we know. Because when people grow, the work they do grows with them. Our purpose is deeply human: to help people navigate the world on their terms, at their speed, toward their future. We hold that same commitment to the people building careers here. Whether you’re starting out or leveling up, you’ll find the resources to evolve, the support to take on more and a team ready to back you at every stage. Your ambition has a home here.

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.

Job Purpose

The Senior Compliance Examiner will serve as a key independent voice in maintaining the integrity and regulatory compliance of our SEC-registered investment advisory firm that provides fee-based investment advice to individuals and retirement plans, financial planning, and consulting services, all governed by fiduciary standards under the Investment Advisers Act of 1940. This individual will be responsible for independent planning, conducting, and reporting on branch-level audits across a large, geographically distributed network of 700+ supervised persons, ensuring they operate in full alignment with those standards. The role requires a sharp analytical mind, exceptional organizational skills, and the ability to communicate complex compliance findings clearly to both branch personnel and senior leadership while equipping the firm with the timely, metric-driven insight needed to continuously strengthen the compliance program.

We are the perfect fit if you

• Enjoy team collaboration
• Thrive in a healthy company culture that recognizes success
• Want to learn and grow your current skill set
• Are seeking a progressive work environment at a rapidly growing organization
• Have a desire to help others protect their future
• Have an entrepreneurial spirit and are challenged by the opportunity to grow the business
• Are energized by standardizing processes and rolling up your sleeves to get the details right
• Have aspirations to grow your career and take on expanded responsibility over time

Key Responsibilities

Plan and execute approximately 70 branch audits annually, including 30%-40% conducted 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. Reviews include branch files, client documentation, fee schedules, and advisory agreements to ensure accuracy, completeness, and regulatory conformance. Conduct interviews with supervised persons and branch principals to evaluate adherence to Code of Ethics, compliance procedures and identify control gaps. Draft detailed, well-organized audit reports documenting findings, risk levels, and recommended corrective actions; communicate results clearly to branch management and firm leadership. Track and follow up on open audit items and corrective action plans through to timely resolution, maintaining accurate documentation of all remediation steps. Aggregate audit results to identify firm-wide risk trends, patterns, and systemic issues; develop executive-level reporting using compliance metrics and key risk indicators. Present risk trend analyses and audit summaries to senior management and the CCO to support data-driven compliance program decisions. Collaborate with the compliance team on updates to policies, procedures, and training based on audit findings and regulatory developments. Maintain current knowledge of SEC regulations, FINRA guidance, and industry best practices applicable to registered investment advisors.

Qualifications

• 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, preferably with an RIA or broker-dealer.
• Working knowledge of the SEC Investment Advisers Act, fiduciary standards, and applicable state regulations governing investment advisory services, financial planning, and retirement plan consulting.
• Demonstrated ability to independently manage a high-volume audit calendar - including onsite travel - with strong organizational skills, self-motivation, and consistent follow-through from planning through corrective action resolution.
• Exceptional written and verbal communication skills, with the ability to draft clear, well-organized audit reports and present findings, risk trends, and compliance metrics to senior management and C-suite audiences.
• Familiarity with GRC or audit management platforms is a plus; experience in a multi-branch environment with 500+ supervised persons strongly preferred.

Core Competencies

• 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

Featured Benefits

• Medical, Vision, Dental, 401(k) plus match, Company Paid STD, Life Insurance, & parental leave
• Hybrid schedule Monday–Friday (8am–5pm)
• 2 weeks' vacation, sick leave, personal days, and floating holidays

Travel: 30-40% travel for onsite branch audits

The expected salary range for this position is $115,000 annually to $125,000 annually and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level.

HUB International is proud to offer comprehensive benefit and total compensation packages which could include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits such as vacation, sick, and personal days, and eligible bonuses, equity and commissions for some positions.

What we offer you

• We invest in your growth. HUB offers structured training, licensing support, and ongoing development opportunities designed to accelerate your career.
• Benefits and programs vary based on employment status, role, location, and applicable eligibility requirements.
• Competitive pay with comprehensive health benefits, retirement savings matching, and company-paid life and disability plans
• Generous paid time off, paid parental leave and a wellbeing program designed to support real work/life balance
• A collaborative, high-performing culture with meaningful engagement, community impact through HUB Gives and genuine room to grow your career
• The HUB difference HUB International is one of North America's largest insurance brokers, delivering risk management, insurance, employee benefits, retirement and wealth management solutions to businesses and individuals across the United States and Canada - through locally led teams backed by national expertise, giving you the agility of a local partner and the reach of a global organization.

Equal Employment Opportunity

HUB International Limited is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other characteristic protected by applicable federal, state, or local law.

Reasonable Accommodations

HUB International Limited is committed to providing reasonable accommodations to qualified individuals with disabilities throughout the application and hiring process. If you need a reasonable accommodation to access our career site, complete an application, or participate in any part of the hiring process, please contact the Recruiting Team at [e-mail]. This contact information is for accommodation requests only and should not be used to inquire about the status of an application.

E-Verify

HUB International Limited participates in E-Verify. Please refer to Our Recruiting Process | Applicant Notices: E-Verify Program for additional information.

HUB International is one of North America's largest insurance brokers, delivering risk management, insurance, employee benefits, retirement and wealth management solutions to businesses and individuals across the United States and Canada - through locally led teams backed by national expertise, giving you the agility of a local partner and the reach of a global organization.