Compliance Manager

Houston TX
February 22 2018
Insurance, Securities

Functional Area:

CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company


  • Manage Compliance program to conform with SEC mandated transfer agent rules
  • Maintain Compliance Policies and Procedures for Transfer Agent
  • Lead and support projects related to VRSCO's transfer agent responsibilities and VALIC's Investment Advisor responsibilities
  • Provide consultative advice to VRSCO business leaders for the design and strengthening of compliance controls and procedures, as needed
  • Provide Compliance support for regulatory inquiries and exams impacting VRSCO
  • Prepare materials, as needed, for the VALIC, Retail, and Annuity fund boards
  • Analyze transactions pertaining to 22c-2 mutual fund investor trading requests for info for VALIC and VRSCO
  • Prepare annual 38a-1 report
  • Complete annual due diligence requests for the RSVP Group Mutual Fund Platform
  • Other duties as assigned


  • Bachelor degree in business, finance, or related field
  • Experience with mutual fund compliance and strong knowledge of securities regulations is preferred
  • 5 years of experience within VALIC, with 3-5 years of experience in VRSCO Operations is preferred
  • Ability to interact with senior management to offer consultation regarding the design of procedures and controls
  • Ability to interact with all levels of the business
  • Strong critical thinking and analysis skills
  • Effective communication and presentation skills
  • Process improvement experience is preferred
  • Strong working knowledge of VALIC and VRSCO's products/platforms is preferred
  • Flexibility to adjust to changes in the business and/or Compliance program
  • Ability to work with multiple AIG retirement businesses and be an effective leader and partner for business constituents in various AIG locations

Location - Houston, TX

Travel - up to 10%

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

Similar jobs

Similar jobs