Sr. Compliance Analyst

Company
AIG
Location
Houston TX
Salary
DOE
Posted
February 22 2018
Industry
Insurance, Securities

Functional Area:


CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company

Position Description


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 Advisors, 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.


Duties will include compliance related tasks such as: responding to regulatory inquiries and requests, providing compliance education and guidance to the field as necessary and other daily compliance activities, In addition, the Sr. Compliance Analyst will assist in the review, approval and/or maintenance of various Compliance programs such as: Firm Element, Outside Business Activities, Personal Securities Accounts, Annual Compliance Questionnaires, and Annual Compliance Meeting requirements. The analyst will work closely with the Firm's Licensing & Registration Department, Central Supervision Department, Network Compliance functions (Complaints, Branch Exams and Surveillance) and assist on other compliance related projects as needed.



Position Requirements


3-5 years' broker-dealer compliance or related experience.


FINRA Series 7 & 24 licenses are required.


Four year college degree preferred.


Experience in annuity products is preferred.


Candidate must be proficient at the following.


- Verbal and written communications.


- Teamwork and Collaboration.


- Microsoft Office products.




It has been and will continue to be the policy of American International Group, Inc., its subsidiaries and affiliates to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability or any other legally protected categories.



At AIG, we believe that diversity and inclusion are critical to our future and our mission - creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives




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