Apply on Employer Site

Corebridge Financial · 9 hours ago

Chief Compliance Officer: VALIC Financial Advisors (VFA) - Registered Investment Advisor

Houston, TX

Full-time

Onsite

Director/Executive

10+ years exp

Corebridge Financial is a company dedicated to empowering financial professionals and institutions to enhance people's financial lives. The Chief Compliance Officer will oversee the investment advisory compliance program, ensuring adherence to regulatory requirements while promoting a culture of integrity within the organization.

Financial ServicesInsuranceLife Insurance

Responsibilities

Providing regulatory and compliance advice in connection with advisory products and services, including in-plan and retail managed accounts programs, retail wealth management and financial planning, complex and wrap products

Conducting and/or collaborating on compliance reviews, surveillance, and monitoring of investment advisory programs to ensure compliance with SEC, FINRA, DOL, and other applicable rules. Oversight of compliance by national team of financial advisors, supervising principals and related advisory support staff

Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs

Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary “retrospective reviews,” and related. Provide reports to the Firm’s board of directors

Leading training initiatives for a national team of financial advisors, supervising principals, and other financial professionals, as well as home office staff, on compliance policies and monitoring changes in legislation

Manage the on-going review of the Firm’s investment advisory compliance program, including any updates (i.e., based on regulatory or business developments), updating as needed, and providing training

Oversee and manage the Firm’s code of ethics, including updates as required, annual training and attestations. Coordinate oversight and pre-clearance approvals for affiliated stock trades, PSTs, and other investment advisor requested financial transactions

Coordinate with various business units for accurate and timely regulatory filings including Forms ADV, CRS, Parts 1A, 2A, 2B and others

Collaborating with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies. Collaborate with various business units for regulatory exams and related matters

Qualification

Compliance experienceRegulatory oversightRisk managementCompliance technology proficiencyAdvisers Act knowledgeTrainingEducationCollaboration

Required

10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm

Proficiency with compliance technology platforms; a strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINRA rules and regulations are requisites

Preferred

Experience with broker-dealer and/or insurance programs compliance a plus

Benefits

Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.

Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.

Employee Assistance Program: Confidential counseling services and resources are available to all employees.

Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.

Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.

Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.