Senior Compliance Analyst, VALIC Financial Advisor, Inc

Houston, TX
August 02 2017
Insurance, Securities
Position Description:

American International Group, Inc. has an opportunity for a Senior Compliance Analyst, VALIC Financial Advisor, Inc. (VFA) in Houston, TX. This position will work with the business and members of Compliance to assist in the execution of the annual Compliance Plan program of VALIC Financial Advisor, Inc. (VFA). The qualified individual filling this position will be responsible for a variety of tasks supporting VFA under the direction of the Chief Compliance Officer.


• This position is responsible for

  • Monitoring & Testing (3012/3130)

  • Form ADV/Supplements & Form BD Filings

  • Training/Awareness Programs

  • Regulatory Exams/Inquiries/Filings

  • Regulatory Liaison

  • Internal Investigations

Position Requirements:
  • BA/BS or 3-5 years' experience

  • Series 7, 63/65 and 24 License

  • Experience in project management.

  • Experience in annuity products is preferred.

  • Implementation experience is preferred.

  • Candidate must be proficient at the following:

  • Project management/organization

  • Verbal and written communications

  • Teamwork and leading teams

  • Microsoft Office products

About Us:

American International Group, Inc. (AIG) is a leading global insurance organization. Founded in 1919, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement products, and other financial services to customers in more than 80 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets, manage risks and provide for retirement security. AIG common stock is listed on the New York Stock Exchange and the Tokyo Stock Exchange.

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