Chief Compliance Officer: VALIC Financial Advisors (VFA) - Registered Investment Advisor

Corebridge Financial • Houston, TX

111d

About The Position

The Chief Compliance Officer, Investment Advisory, is responsible for overseeing the Firm's investment advisory compliance program, ensuring adherence to regulatory requirements, and promoting a culture of integrity. This role involves working on various aspects of legal support for the Regulatory team, including compliance advisory, regulatory oversight, risk management, annual regulatory reviews, training and education, oversight and management of the investment advisory compliance program, oversight of the Firm's Code of Ethics, responsibility for timely and accurate regulatory and related filings, and collaboration with various departments to ensure adherence to ethical standards and regulations.

Requirements

• 10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm.
• Experience with broker-dealer and/or insurance programs compliance a plus.
• Proficiency with compliance technology platforms.
• Strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINRA rules and regulations.

Responsibilities

• Providing regulatory and compliance advice in connection with advisory products and services, including in-plan and retail managed accounts programs, retail wealth management and financial planning, complex and wrap products.
• Conducting and/or collaborating on compliance reviews, surveillance, and monitoring of investment advisory programs to ensure compliance with SEC, FINRA, DOL, and other applicable rules.
• Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs.
• Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary 'retrospective reviews,' and related.
• Leading training initiatives for a national team of financial advisors, supervising principals, and other financial professionals, as well as home office staff, on compliance policies and monitoring changes in legislation.
• Manage the ongoing review of the Firm's investment advisory compliance program, including any updates based on regulatory or business developments.
• Oversee and manage the Firm's code of ethics, including updates as required, annual training and attestations.
• Coordinate with various business units for accurate and timely regulatory filings including Forms CRS, Parts 1A, 2A, 2B and other.
• Collaborate with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies.

Benefits

• Health and Wellness: A range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives.
• Retirement Savings: Competitive 401(k) Plan with a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay.
• Employee Assistance Program: Confidential counseling services and resources 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.
• Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Insurance Carriers and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees