Advisor Compliance and Business Practices Specialist
HUB International
Advisor Compliance and Business Practices Specialist
HUB International
Global insurance brokerage and risk management
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.
Advisor Compliance and Business Practices Specialist
Woodbridge (Hybrid)
Hub Financial, a division of HUB International, is one of Canada’s largest independent Managing General Agencies (MGA). Specializing in life insurance, investments, and wealth management, we provide independent financial advisors with a wide range of products, resources, and tools to help their business succeed. Our services include access to top-tier insurance solutions, cutting-edge technology platforms, and operational support all designed to streamline business processes and improve client outcomes. At Hub Financial we empower independent advisors to grow their practices, enhance their client service, and deliver comprehensive financial solutions.
About The Role
We are looking for a highly motivated individual that is multitask orientated and computer proficient. Responsible for monitoring Advisor suitability and compliance for the Insurance division.
What You’ll Do
Responsible for supporting insurance compliance department functions and projects including Broker Suitability and Business Conduct, Data Analysis through development of effective Trending Reports, Audits relating to Business Conduct and project work.
Broker/Advisor Suitability: Review broker accounts and escalate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and escalate any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.
Broker/Advisor Monitoring: Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities. Maintain internal reporting of information collected and issues that are escalated.
Broker/Advisor Audit: Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files. Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files.
Analyze data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability
Project Management: Assist with and coordinate project work as assigned.
What You’ll Need for Success
Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)
Demonstrated ability to communicate (written and verbal) effectively
Detail oriented and good organizational skills
Ability to apply common sense thinking
Strong sense of confidentiality
Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency environment
Background in broker contracting and related compliance requirements and regulations
Experience with WealthServ, APEXA or other industry back-office systems is an asset
Good project management skills
Bilingual in French and English is an asset
What’s in it for you?
Your well-being is our priority, and we back this up with a wealth of benefits:
Competitive Compensation: Benefit from a pay structure that includes incentives, bonuses, and opportunities to increase your earnings.
Work-Life Balance: Enjoy flexible work arrangements and generous time off to support your personal and professional life.
Tailored Benefits: Access a personalized benefits package, including company-matched RRSPs, designed to meet your unique needs.
Career Growth and Support: Invest in your future with HUB! Take advantage of our sponsored training and development programs, tuition reimbursement opportunities, and coverage for professional license fees and membership dues—everything you need to support your growth and excel in your career.
Exclusive Perks: Take advantage of discounts on events, travel, accommodations, and personal home & auto insurance.
At HUB, we believe that diversity drives innovation, equity fosters opportunity, and inclusion creates a culture where everyone thrives. We are committed to building a workplace that reflects the communities we serve and where every employee feels valued, respected, and empowered to bring their whole self to work. By embracing diverse perspectives and fostering an inclusive environment, we cultivate a collaborative and dynamic team that delivers exceptional results for our clients and communities.
Compensation
The expected salary range for this position is $55,000 - $62,000 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
Why Choose HUB?
When you choose HUB, you're choosing a competitive, exciting, and friendly work environment that strategically positions you for longevity and offers significant advancement, growth, and success opportunities. To read more about HUB, please visit - About Us - HUB International
About HUB International
Headquartered in Chicago, Illinois, Hub International Limited is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth management products and services. With more than 19,000 employees in offices located throughout North America, HUB’s vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow.
We’re not just an insurance broker, we’re a team of passionate professionals dedicated to innovation, excellence, and empowering our clients and communities through personalized support and expertise.
If you’re interested in learning how you can grow your career at HUB, visit our Careers Page to explore our opportunities.
AI Disclosure
AI and Automation Notice HUB International uses limited AI and automation tools within our recruitment systems to enhance efficiency in the hiring process and in the candidate experience. These tools do not independently make hiring decisions or screen out candidates — all decisions are made through human review.
HUB International is committed to creating an inclusive and accessible recruitment process for all candidates. If you require accommodations at any stage of the interview process, please let us know, and we will work with you to ensure a fair and equitable experience.
#LI-hybrid
#LI-SS1
What we offer you
We invest in your growth. HUB offers structured training, licensing support and ongoing development opportunities designed to accelerate 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.
We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team [email protected]. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
Global insurance brokerage and risk management
HUB International is a global insurance brokerage that provides property and casualty, life and health, employee benefits, investment services, and risk management products and services to individuals and businesses. It works by connecting clients with insurance carriers and financial partners through a network of local offices, tailoring coverage and managing programs; it earns commissions and fees for brokerage and risk advisory services. The company differentiates itself with a decentralized model that integrates many local brokerages into a single network, blending local expertise with global resources for personalized solutions and broad geographic reach. Its goal is to help clients protect people, property, and earnings by delivering integrated insurance, benefits, and risk-management solutions at scale.
Explore more opportunities at HUB International