Supervision Analyst

Corebridge Financial • Houston, TX

1d • Hybrid

About The Position

The Supervision 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.

Requirements

• 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.
• At least 2 + years of experience in Financial Services preferably in a supervision, compliance, or suitability review
• FINRA Series 7 required.
• Must have the ability to obtain preferred licenses within 120 days of hire

Nice To Haves

• FINRA Series 63, Series 65, or Series 66 preferred
• FINRA Series 24 and Series 53 preferred

Responsibilities

• Analyze, identify, and resolve complex issues discovered during routine surveillance.
• Working 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.

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: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees