Supervisory Principal

Corebridge Financial•Houston, TX

4d•Onsite

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
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

Nice To Haves

FINRA Series 53 encouraged
Series 66 (or Series 63 & 65) preferred.

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