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Supervision Analyst
4 weeks ago
About the Role
At Corebridge Financial Inc., we are seeking a highly skilled Supervision Analyst to join our team. As a Supervision Analyst, you will work closely with our Compliance departments and field leadership to preserve the interests of our clients by detecting and mitigating conflicts of interest.
Responsibilities
- 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.
- Participate in the creation and issuance of written procedures.
- Communicate and escalate issues as appropriate to Senior Management.
- Stay current on regulatory trends in our business.
- Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact.
Requirements
- At least 2+ years of experience in Financial Services, preferably in a supervision, compliance, or suitability review.
- FINRA Series 7 required.
- FINRA Series 63, Series 65, or Series 66 preferred.
- FINRA Series 24 and Series 53 preferred.
- Must have the ability to obtain preferred licenses within 120 days of hire.
What We Offer
- Paid Time off: 24 PTO days to start.
- 9 Paid holidays.
- A 401(k) plan with a $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not.
Equal Opportunity Employer
Corebridge Financial Inc. is an Equal Opportunity Employer and is committed to diversity and inclusion in the workplace.
