Senior Compliance Examiner

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 T