GRP Compliance Analyst

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 GRPs financial advisors provide investment services to over 7000 retirement plans and their plan participants and over 12000 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 employeesandproviding continuous opportunitiesfor 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 thatarerooted 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 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 focused on learning and development to enhance your industry knowledge and expertise
• Are a self-starter willing to invest time and energy to learn the technical aspects of our business
• Believe 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 department
• Overall 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) agreements
• Sign of on all agreements on behalf of GRP
• Contact advisors and/or staff on agreements not in good order with instructions on further actions required
• Identification of appropriate registration and disclosure requirements for advisor teams
• Conduct and/or support onsite or virtual branch audits
• Supervision of advisor sales practices
• Ongoing operational service and support of advisor teams
• Ongoing support of executive level compliance leadership

Compensation:

Salary range: $75000-$100000

This range is impacted by factors such as the successful candidates 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 compliance
• Bachelors Degree or equivalent work experience in the financial services industry
• Risk assessment problem-solving and decision-making skills
• Series 7 66 and 24
• Familiarity with Retirement/Pension plans preferred
• Adaptability and drive to work well in a deadline-oriented environment
• Excellent written and verbal communication skills
• Proficient in MS Office products

Required Experience: 5-7 years of relevant experience

Required Travel: Up to 25%

Required Education: Bachelors degree (4-year degree)

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

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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 veterans status or any other characteristic protected by local state or federal laws rules or regulations.

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