Senior Vice President of Compliance Oversight

2 weeks ago

Houston, Texas, United States Corebridge Financial Full time
About Us

Corebridge Financial: Where Action Drives Success. As a newly established entity, we bring a wealth of experience from our roots as AIG Life & Retirement. We stand as one of the premier providers of retirement solutions and insurance products in the United States, dedicated to empowering our clients through effective financial strategies.

Role Overview

The Senior Vice President of Compliance Oversight will report directly to the President of VALIC Financial Advisors.

This pivotal position serves as the primary supervisory authority for VFA's broker-dealer, ensuring that our supervisory protocols are robust and align with VALIC Financial Advisor's compliance standards.

Key Responsibilities

In this essential role, you will:

- Develop and revise Supervisory Principal manuals and documentation in collaboration with the Compliance team.

- Design and deliver training sessions on supervisory matters, including creating engaging content for training meetings and facilitating regular supervisory principal discussions.

- Establish streamlined processes across the distribution network for supervisory principals regarding gifts, entertainment, sponsorships, and contributions.

- Generate and present comprehensive reports to senior management, including action plans addressing first line of defense issues.

- Collaborate with the Compliance team to assist in investigations and ensure prompt resolution of compliance-related matters.

- Support the Retirement Services Compliance Department in ensuring adherence to supervisory duties as outlined in the Compliance Manual and FINRA regulations.

- Review escalated emails to confirm that Supervisory Principals are fulfilling their supervisory obligations effectively.

- Ensure that branch offices comply with FINRA standards and partner with the branch examination team on supervisory principal remediation.

- Investigate relevant supervisory issues and regulatory trends in partnership with Compliance to enhance knowledge within the distribution framework.


- Collaborate with management to train, mentor, and evaluate supervisory principals, ensuring the quality and efficiency of our supervisory framework.

Qualifications

- Bachelor's degree required.

- Over 10 years of experience in the Financial Services sector.

- Detail-oriented with a strong intuitive and innovative mindset, capable of managing a substantial workload independently.

- Excellent communication skills, both written and verbal, with the ability to express concerns clearly.

- Proficient in analyzing extensive data sets and navigating complex compliance challenges.

- Possession of FINRA Series 7 and 24 designations, or the ability to secure them within nine months of employment.

Why Join Corebridge Financial?

We prioritize your professional growth.

Our career advancement program is designed to enhance your skills, boost your productivity, and position you for roles with greater responsibility and compensation.


Our commitment to community engagement is integral to our operations.

We offer up to 16 hours of paid time off annually for volunteering, reflecting our dedication to giving back.


Our employees are central to delivering value to our clients and stakeholders, which is why we offer a competitive benefits package and attractive compensation.


Benefits Include:
- Generous Paid Time Off (PTO) policy, starting with 24 days and 17 paid holidays each year.

- An exceptional 401(k) Retirement Plan.

We match $1 for $1 up to 6% with immediate vesting, plus an automatic contribution of an additional 3% into your 401(k), regardless of enrollment.

Equal Opportunity Commitment


Corebridge Financial, Inc. and its affiliates are committed to fostering an inclusive workplace. We provide equal opportunities to all qualified individuals, irrespective of race, color, religion, age, gender, gender identity, national origin, veteran status, disability, or any other legally protected categories.

We believe that diversity and inclusion are vital to our mission, driving innovation, growth, and profitability.

Through various initiatives, we invest in our employees, ensuring they are respected as individuals and valued for their unique contributions.


Learn More:


Corebridge Financial is dedicated to working with applicants and employees requiring reasonable accommodations due to physical or mental disabilities.

For inquiries regarding accommodations in the application or hiring process, please reach out to our HR team.

Accommodations will be assessed on a case-by-case basis.



Functional Area:
CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided:
No

American General Life Insurance Company

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