Chief Compliance Officer, Sales Practices

Corebridge Financial • Los Angeles, CA

22h • $160,000 - $180,000 • Hybrid

About The Position

This role focuses on both the front-end sales process and suitability requirements as well as investigations into sales practices matters and other matters requiring internal investigation. The CCO-SP would manage the leaders of the Suitability Compliance team and the Investigations team, and they will be responsible for the sales and distribution aspects of ensuring that the firm’s retirement, annuity, and life insurance businesses operate within a robust, risk-based compliance framework aligned with enterprise standards, while enabling strategic growth and client confidence. The CCO-SP will also serve as the Chief Compliance Officer of the affiliated Insurance Agency and have primary responsibility for Corebridge Direct. The position reports functionally to the Chief Compliance Officer, U.S. Insurance Companies (CCO), and partners closely with business and functional leaders on the business unit teams.

Requirements

• 10+ years of experience in compliance or legal roles within the sales practices sector of the financial services industry, including leadership experience in broker-dealer, RIA, or insurance company compliance.
• Demonstrated ability to support multiple regulated entities and lead through matrixed governance structures.
• Strong working knowledge of FINRA, SEC, DOL, and state insurance regulations.
• Proven track record in sales practices and suitability compliance program design.
• Exceptional leadership, communication, and interpersonal skills; ability to influence and partner across complex organizations.
• Strategic and Integrative Thinker: Connects enterprise risk objectives to business goals.
• Builder of People and Teams: Values diversity and develops strong, empathetic, and empowered compliance leaders.
• Trusted Advisor: Balances business acumen and support with regulatory discipline.
• Collaborative Leader: Operates effectively within shared services and center-of-excellence frameworks.
• Change Agent: Guides compliance modernization and technology adoption and drives continuous improvement.

Nice To Haves

• JD or equivalent advanced degree preferred; relevant certifications, including FINRA licenses, a plus but not required.

Responsibilities

• Strategic Compliance Leadership With a focus on Sales Practices, support the CCO in developing and executing a comprehensive compliance program that supports the company’s mission of helping clients plan and invest for retirement and long-term financial security. As needed, collaborate with CCOs of the affiliated broker-dealers, RIA, and mutual fund complex. Partner with enterprise corporate compliance teams to ensure consistent standards and efficient execution.
• Governance and Oversight Oversee compliance policies, risk assessments, and monitoring programs across relevant regulated entities and/or business lines. As needed, ensure effective management of regulatory examinations and inquiries from the SEC, FINRA, DOL, state insurance departments, and other regulators. Participate in business unit Boards and Committees as appropriate. Maintain reporting protocols that deliver transparency into compliance risks, emerging issues, and program effectiveness.
• Culture and Conduct Promote a culture of ethics, integrity, and accountability throughout the retirement and insurance businesses. Partner with the CCO, Human Resources, Operations, and Sales leadership to reinforce conduct expectations, training, and supervisory controls. Serve as a visible and trusted voice for “doing what’s right for clients,” consistent with the firm’s ethical, fiduciary and suitability obligations.
• Regulatory Engagement Participate in and, as called on, lead exam readiness and remediation efforts across relevant affiliated entities. Stay ahead of evolving regulatory trends affecting the retirement plan, annuity, insurance, and wealth management sectors.
• Enterprise Collaboration Collaborate with the enterprise compliance shared services model to ensure alignment on risk assessment, monitoring, testing, and reporting methodologies. Contribute to enterprise-wide compliance initiatives, governance enhancements, and technology modernization efforts. Support integration of new compliance tools, artificial intelligence, data analytics, and automation capabilities.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Executive
• Education Level: No Education Listed