Corebridge Financial helps people make some of the most meaningful decisions they are ever going to make. We help them plan and take action to protect the future they envision and respond to some of life’s most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client-centered service, breadth of product expertise, deep distribution relationships, and outstanding, hardworking, and passionate employees.
About the Role
Under the guidance of a Senior Supervision Analyst, an Associate Analyst is expected to work toward becoming familiar with the firm’s products, services, and systems while obtaining appropriate licenses to perform supervision and surveillance functions. Develop skills to assist in the analyzation of associated persons’ sales activity to identify trends and patterns, and complete secondary transaction review. Supervision Analysts collaborate closely with the firm's various Compliance departments and field leadership to preserve the interest of our clients by detecting and mitigating conflicts of interest. A Supervision Analyst provides exceptional service and support to our business partners by delivering timely and thoughtful analysis of data collected in proprietary reports, surveillance systems, and by individual referrals.
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.
Preferred Skills
- Excellent customer service and communication skills.
- Well organized and meticulous.
- Able to exercise independent thought and decision-making.
- Ability to work in a fast-paced and ever-changing environment.
- 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.
- Able to establish and maintain effective relations with external and internal business partners.
Qualifications and Education Requirements
- At least 2+ years of experience in Financial Services, preferably in supervision, compliance, or suitability review.
- FINRA Series 7 required.
- FINRA Series 24 and Series 53 preferred.
- Must have the ability to obtain preferred licenses within 120 days of hire.
What our employees like most about working for Corebridge Financial
- Our Giving Back policy is at the core of our daily operations. Corebridge provides up to 16 hours of volunteer time off.
- Our people are our most important asset; therefore, we provide generous benefits and competitive pay. Benefits include:
- Paid Time off: 24 PTO days to start.
- 9 Paid holidays.
- A 401k which is HARD TO BEAT. $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not.
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.
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
Who we are.
Corebridge Financial helps people make some of the most meaningful decisions they are ever going to make. We help them plan and take action to protect the future they envision and respond to some of life’s most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client-centered service, breadth of product expertise, deep distribution relationships, and outstanding, hardworking, and passionate employees.
About Us
Corebridge Financial makes it possible for more people to take action in their financial lives. Corebridge is one of the largest providers of retirement solutions and insurance products in the United States. We proudly partner with financial professionals and institutions to help individuals plan, save for and achieve secure financial futures. For more information, visit corebridgefinancial.com. Thank you for choosing to join our team.
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