Supervisory Principal

About The Role

As a Transaction Review Analyst, you will be conducting suitability review for business requiring firm pre-approval, to include, but not limited to mutual fund purchases, variable or fixed annuity initial purchases or exchanges, and advisory service recommendations. You will also be responsible for identifying and assisting in mitigating compliance risk within the organization.

Responsibilities

• Review transaction submissions for risk and regulatory issues
• Communicate proficiently with financial professionals to obtain suitability information and forms required for the broker dealer
• Help coordinate efforts between financial professionals and internal operational partners to ensure business is processed within department service level agreements
• Perform research and participate in escalated issues or rejections as directed
• Manage and maintain strong relationships with business partners
• Research and respond to complex or non-routine requests for assistance and problem resolution by sales professionals or product sponsor companies
• Communicate and escalate issues as appropriate to Senior Management
• Research, investigate, report, and propose solutions to issues identified by management, auditors, or regulators
• 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

• Exceptional communication skills to communicate with advisors, field management, upper management, and across departments
• Data analysis experience required - analyzing large volumes of data and recognizing inconsistencies, trends, and/or erroneous information
• Strong presentation and business writing skills
• Well organized and detail oriented
• Able to exercise independent thought and decision making
• Ability to work in a fast paced and ever-changing environment

Qualifications And Education Requirements

• At least 2+ years of experience in Financial Services preferably in a supervision capacity
• FINRA Series 7 Required
• FINRA Series 24 Required
• FINRA Series 53 encouraged
• Series 66 (or Series 63 & 65) preferred

Work Location

This position is based in Corebridge Financial's Houston, TX office and is subject to our hybrid working policy, which gives colleagues the benefits of working both in an office and remotely.

Benefits

• Health and Wellness: range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives
• Retirement Savings: competitive 401(k) Plan with 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
• Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000
• Volunteer Time Off: up to 16 volunteer hours annually
• Paid Time Off: at least 24 Paid Time Off (PTO) days for eligible employees