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

Corebridge Financial•Houston, TX

25d•Onsite

About The Position

The Chief Compliance Officer, VFA Registered Investment Advisor, is responsible for overseeing the Firm’s investment advisory compliance program, ensuring adherence to regulatory requirements, and promoting a culture of integrity. You will be working on various aspects of Compliance and regulatory support for VFA – Registered Investment Advisor a division of Retirement Services at Corebridge. Examples of the work in which you will be involved include: Compliance Advisory : 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. Regulatory Oversight : 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. Oversight of compliance by national team of financial advisors, supervising principals and related advisory support staff. Risk Management : Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs. Annual Regulatory Reviews : Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary “retrospective reviews,” and related. Provide reports to the Firm’s board of directors. Training and Education : 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. Oversight and Management of the Investment Advisory Compliance Program : Manage the on-going review of the Firm’s investment advisory compliance program, including any updates (i.e., based on regulatory or business developments), updating as needed, and providing training. Oversight of the Firm’s Code of Ethics: Oversee and manage the Firm’s code of ethics, including updates as required, annual training and attestations. Coordinate oversight and pre-clearance approvals for affiliated stock trades, PSTs, and other investment advisor requested financial transactions. Responsibility for Timely and Accurate Regulatory and Related Filings: Coordinate with various business units for accurate and timely regulatory filings including Forms ADV, CRS, Parts 1A, 2A, 2B and others. Collaboration : Collaborating with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies. Collaborate with various business units for regulatory exams and related matters.

Requirements

10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm.
Proficiency with compliance technology platforms; a strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINRA rules and regulations are requisites.

Nice To Haves

Experience with broker-dealer and/or insurance programs compliance a plus.

Responsibilities

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
Collaboration

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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