Supervision Analyst Job at Corebridge Financial
Role
This position is responsible for conducting trend and pattern analysis, secondary transaction review, and advisor reviews.
Responsibilities for the Supervision Analyst include but are not limited to:
- Utilize data collected to provide in depth analysis the firm can use to make business and compliance decisions
- Work with other internal departments and 3rd party vendors to build reports as needed for the effective review of transactions
- Identify and assist in mitigating compliance risk within the organization
- Review advisor’s business for common risk and regulatory issues
- Produce ad hoc reports as requested from business partners
- Deliver and track analysis summaries to internal business units for review and follow up
- Participate in the creation and issuance of written procedures
- Manage and maintain strong relationships with business partner
- Communicate and escalate issues as appropriate to the Senior Management.
- Stay current on trends in our business
- Contact Sales Professionals to obtain forms and suitability information required for the broker dealer
- Research and respond to complex or non-routine requests for assistance and problem resolution by sales professionals or product sponsor companies
- Managing priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact
- Researching, investigating, reporting and proposing solutions to issues identified by management, auditors or regulators
Qualifications and Education Requirements
- At least 3 + years of experience in Compliance or Supervision
- Series 6 or 7 required
- Series 24 or 26 preferred
- Series 63/65 or Series 66 preferred
- Series 51 or 53 preferred
- State Insurance License preferred
- Bachelor's Degree required
Preferred Skills
- Data analysis experience required - analyzing large volumes of data and recognizing inconsistencies, trends, and/or erroneous information
- The right person for this job will have exceptional communication skills. You will need to communicate with advisors to gain insight into specific transactions. You will need to communicate with field management regarding potential issues. You will need to communicate to upper management regarding problematic trends. Exceptional communication (written and verbal) and interpersonal skills with the ability to communicate effectively within and across departments and at all levels of the organization are a must.
- Strong presentation and business writing skills
- Demonstrated ability to manage multiple tasks and projects simultaneously, prioritize competing work efforts, manage time effectively and without supervision.
We are an Equal Opportunity Employer
Corebridge Financial, Inc., its subsidiaries and affiliates are committed to be 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 not only respected as individuals, but also truly valued for their unique perspectives.
To learn more please visit:
www.corebridgefinancial.com
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 a 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
candidatecare@aig.com
. Reasonable accommodations will be determined on a case-by-case basis.
Functional Area:
CP - Compliance
Estimated Travel Percentage (%): No Travel
Relocation Provided: No
American General Life Insurance Company
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