Sr Director, Regulatory Compliance

Horan Securities, Inc.; Des Plaines (IL); Remote; USD 90,000 - 150,000; Full time

Job summary

An established industry player is seeking a Sr. Director of Regulatory Compliance to lead compliance efforts in a rapidly growing digital insurance platform. This pivotal role involves ensuring adherence to GLBA and SOC2 standards, conducting compliance assessments, and collaborating with various teams to integrate governance frameworks. The ideal candidate will possess extensive experience in compliance and risk management, particularly within the financial or insurance sectors. If you are a detail-oriented leader with exceptional communication skills, this opportunity offers the chance to make a significant impact in a dynamic environment while supporting strategic partnerships and enhancing operational efficiency.

Qualifications

• 8+ years in compliance, risk management, or information security required.
• Strong understanding of GLBA, SOC2, and TPRM frameworks essential.

Responsibilities

• Conduct GLBA compliance assessments and implement corrective action plans.
• Lead SOC2 certification management and ensure audit adherence.
• Collaborate with teams on third-party risk management practices.

Skills

Compliance Management

Risk Management

Information Security

GLBA Knowledge

SOC2 Framework

Communication Skills

Collaboration Skills

Education

Bachelor’s degree in Business or Information Security

Tools

Compliance Assessment Tools

Risk Management Software

Job description

Job Title: Sr. Director, Regulatory Compliance

Organization: VIU by HUB

Reports To: VP, Strategic Execution
Location: Remote

VIU by HUB:
Powered by HUB International, VIU by HUB is a new kind of digital insurance platform designed to help people find the right policies for the fullest coverage, quickly and easily, with the guidance of our experts along the way. As a dynamic start-up within HUB International, VIU by HUB combines the innovative spirit of a start-up with the robust support of a leading global insurance brokerage.

Job Overview:

As a growing business unit of HUB International, VIU has expanded rapidly through strategic partnerships and acquisitions, including our recent purchase of Insuritas. 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.

Primary Responsibilities:

1. GLBA Compliance Assessments:
   • Conduct thorough assessments of the current state of GLBA compliance across VIU by HUB and Insuritas.
   • 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.
2. SOC2 Certification Management:
   • Lead the ongoing maintenance and maturity of SOC2 compliance efforts for both VIU by HUB and Insuritas.
   • Ensure adherence to audit requirements and support annual certification renewals.
   • Proactively identify opportunities for process improvement and greater operational efficiency.
3. 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.
4. 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.
5. 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.

Job Requirements:

Education:

• Bachelor’s degree in Business, Information Security, or a related field or equivalent work experience.

Experience:

• Minimum of 8 years of experience in compliance, risk management, or information security, preferably within financial or insurance sectors; Professional certifications such as CISA, CISM, or CRISC are a plus.
• Strong understanding of GLBA, SOC2, and third-party risk management frameworks.
• Demonstrated ability to conduct compliance assessments and implement corrective action plans.

Knowledge & Skills:

• 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.

Working Conditions:
Work from home. Travel to office as needed.

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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