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Supervision Analyst

1 month ago

Houston TX United States Corebridge Financial, Inc. Full time

Corebridge Financial helps people make some of the most meaningful decisions they are ever going to make. We help them plan and take action to protect the future they envision and respond to some of life’s most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client centered service, breadth of product expertise, deep distribution relationships and outstanding, hardworking, and passionate employees.

About the Role

A Supervision Analyst I, under guidance, will analyze the sales activity of the firm’s associated persons to identify trends and patterns, complete secondary transaction review, and evaluate advisor behavior. Supervision Analysts collaborate closely with the firm's various Compliance departments and field leadership to preserve the interest of our clients by detecting and mitigating conflicts of interest. A Supervision Analyst provides exceptional service and support to our business partners by delivering timely and thoughtful analysis of data collected in proprietary reports, surveillance systems and by individual referrals.

Responsibilities

  • Utilize data collected to provide in-depth analysis the firm can use to make business and compliance decisions.
  • Analyze, identify, and resolve complex issues discovered during routine surveillance.
  • Work with third party vendors, representatives, financial advisors, and internal business partners.
  • Respond to inquiries from compliance, field leadership, financial advisors and internal business partners regarding sales activity, policies, and procedures.
  • Deliver and track analysis summaries to internal business units for review and follow up pertaining to monthly and quarterly report inquiries.
  • Participate in the creation and issuance of written procedures.
  • Manage and maintain strong relationships with business partners.
  • Communicate and escalate issues as appropriate to Senior Management.
  • Stay current on trends in our business.
  • Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact.

Preferred Skills

  • In-Depth knowledge of investments, suitability, and regulatory compliance issues.
  • Excellent customer service and communication skills.
  • Well organized and meticulous.
  • Able to exercise independent thought and decision making.
  • Ability to work in a fast-paced and ever-changing environment.
  • Strong presentation and business writing skills.
  • Demonstrated ability to manage multiple tasks and projects simultaneously, prioritize competing work efforts, manage time effectively and with limited supervision.
  • Able to establish and maintain effective relations with external and internal business partners.

Qualifications and Education Requirements

  • At least 3+ years of experience in Financial Services preferably in a supervision, compliance, or suitability review.
  • FINRA Series 7 required, 63, Series 65, or Series 66 required.
  • FINRA Series 24 preferred.
  • Series 53 preferred.
  • Must have the ability to obtain preferred licenses within 120 days of hire.

What our employees like most about working for Corebridge Financial

  • Our Giving Back policy is at the core of our daily operations. Corebridge provides up to 16 hours of volunteer time off.
  • Our people are our most important asset therefore we provide generous benefits and competitive pay. Benefits include:
  • Paid Time off: 24 PTO days to start.
  • 9 Paid holidays.
  • A 401k which is HARD TO BEAT. $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not.

We are an Equal Opportunity Employer

Corebridge Financial, Inc., its subsidiaries, and affiliates, are committed to being an Equal Opportunity Employer and its policies and procedures reflect this commitment. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability, or any other legally protected categories such as sexual orientation. At Corebridge Financial, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are respected as individuals, and truly valued for their unique perspectives.

Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees with physical or mental disabilities. If you believe you need reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to Reasonable accommodations will be determined on a case-by-case basis.

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