Chief Compliance Officer - Mutual Funds

Corebridge Financial Inc.•Houston, TX

54d•Hybrid

About The Position

The Chief Compliance Officer (CCO) of the Mutual Funds serves as the designated compliance officer under Rule 38a-1 of the Investment Company Act of 1940 and, as applicable, Rule 206(4)-7 of the Investment Advisers Act of 1940. The CCO is responsible for establishing, maintaining, and administering the Fund's Compliance Program and overseeing the compliance activities of the adviser, sub-advisers, distributor, transfer agent, and other key service providers to ensure adherence to federal securities laws and applicable rules and regulations. The CCO reports directly to the Fund Board, with functional accountability to the Audit/Compliance Committees and administrative alignment with the Adviser's executive management and to the CCO of Corebridge Financial.

Requirements

Juris Doctor (JD), CPA, or advanced degree preferred; professional certifications (CFA, CCEP, CAMS, CRCP) a plus.
Minimum 10-15 years of progressive compliance experience in asset management or mutual funds, preferably in a CCO role.
Deep understanding of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and related SEC regulations along with AML and Economic Sanctions regulations.
Demonstrated experience managing regulatory examinations and interacting with Boards and senior executives.
Excellent judgment, communication, and leadership skills, with the ability to translate complex regulation into practical compliance strategies.
Effective interpersonal, verbal, and written communication skills.
Superior judgment and experience with identifying and handling conflicts of interest.

Responsibilities

Compliance Program Design and Oversight
Develop, implement, and maintain the Fund's compliance policies and procedures under Rule 38a-1.
Conduct ongoing assessments of the Fund's compliance program and the programs of key service providers.
Coordinate annual reviews of the adequacy and effectiveness of the compliance program and present findings to the Fund Board.
Ensure compliance monitoring and testing activities are risk-based, data-driven, and aligned with evolving regulatory expectations (including Portfolio Monitoring).
Board Reporting and Governance
Serve as primary compliance liaison to the Fund Board and Audit/Compliance Committees.
Prepare and deliver quarterly compliance updates and the annual Rule 38a-1 report.
Maintain open lines of communication with independent directors and external counsel on emerging risks and material issues.
Oversee the Funds' and the Adviser's Liquidity Risk Management Program, including the Firm's Sanctions and Restricted List(s).
Service Provider Oversight
Review and evaluate compliance programs of service providers including the adviser, sub-advisers, distributor, administrator, and transfer agent.
Conduct due diligence reviews and ongoing monitoring, including thematic or risk-based reviews.
Oversee the onboarding and offboarding of service providers to ensure seamless compliance integration.
Regulatory Management
Serve as the primary contact with the SEC, FINRA, and other regulatory bodies regarding mutual fund compliance matters.
Manage regulatory examinations, requests, and communications, ensuring timely and accurate responses.
Track, interpret, and implement new legal and regulatory developments affecting the Fund complex.
Oversee Key Regulatory Filings.
Risk Management and Controls
Collaborate with the enterprise risk management (ERM) function to align compliance oversight with broader risk frameworks.
Monitor and assess potential conflicts of interest and Code of Ethics compliance and conduct periodic employee training.
Identify and escalate compliance risks to executive leadership and the Board.
Leadership and Culture
Lead a compliance team (direct or matrixed) supporting mutual fund and adviser compliance functions.
Foster a culture of ethical conduct, fiduciary responsibility, and proactive risk identification.
Provide compliance training for Fund personnel, portfolio managers, and service providers as appropriate.
Interact closely with all areas and personnel within the Legal and Compliance Department, including the head of compliance and senior management.
Please note this is not an exhaustive list of all responsibilities of the position, and the requirements of the job may change in line with business needs.

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.

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