Supervisory Principal

Corebridge Financial • Houston, TX

4d • Hybrid

About The Position

As a Transaction Review Analyst, you will be conducting suitability review for business requiring firm pre-approval, to include, but not limited to mutual fund purchases, variable or fixed annuity initial purchases or exchanges, and advisory service recommendations. You will also be responsible for identifying and assisting in mitigating compliance risk within the organization.

Requirements

• At least 2 + years of experience in Financial Services preferably in a supervision capacity
• FINRA Series 7 Required
• FINRA Series 24 Required
• Series 66 (or Series 63 & 65) preferred.

Nice To Haves

• Exceptional communication skills
• Data analysis experience required - analyzing large volumes of data and recognizing inconsistencies, trends, and/or erroneous information
• Strong presentation and business writing skills
• Well organized and detail oriented
• Able to exercise independent thought and decision making
• Ability to work in a fast paced and ever-changing environment
• FINRA Series 53 encouraged

Responsibilities

• Review transaction submissions for risk and regulatory issues
• Communicate proficiently with financial professionals to obtain suitability information and forms required for the broker dealer
• Help coordinate efforts between financial professionals and internal operational partners to ensure business is processed within department service level agreements
• Perform research and participate in escalated issues or rejections as directed
• Manage and maintain strong relationships with business partners
• Research and respond to complex or non-routine requests for assistance and problem resolution by sales professionals or product sponsor companies
• Communicate and escalate issues as appropriate to Senior Management
• Research, investigate, report, and propose solutions to issues identified by management, auditors, or regulators
• Stay current on trends in our business
• Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Mental health support
• Wellness initiatives
• 401(k) Plan
• Company matching contribution to 401(k) up to 6%
• Company contribution to 401(k) equal to 3%
• Employee Assistance Program
• Matching charitable donations up to $5,000
• Volunteer Time Off (16 hours annually)
• Paid Time Off (at least 24 days)

What This Job Offers

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