Compliance Analyst

Houston TX
March 09 2018
Insurance, Securities

Functional Area:

CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company

Compliance Analyst -Liquidity Program

The Role and Responsibilities:

The Compliance Analyst reports directly to the Compliance Director - Liquidity Administrator will have the following responsibilities:

  • Assist in the oversight of the following aspects of the Compliance programs for AIG's retail and annuity mutual funds and investment advisers SAAMCo and VALIC including:
    • Assist Compliance Director regarding the Management of the SEC 22e-4 Liquidity Risk Management Program.
    • Assist in the daily oversight of each Fund's Liquidity including, liaise with each Fund's subadviser and interface with the vendor providing liquidity reports.
    • Assist with the over classification of the liquidity of the Fund's portfolio investments into one of four liquidity classification/buckets.
    • Assist with the adoption of policies and procedures and record keeping requirements.
    • Fund Compliance

      Monitoring & Testing

      Board Reporting

      Sub-Adviser Due Diligence

      Monitoring client portfolios for compliance with Prospectus/SAI & regulatory guidelines

      Product Launches

      Trade Error Analysis

      Candidate Qualifications

      The ideal person for this role should have experience and knowledge of compliance and/or industry knowledge. Candidates will be expected to possess the following professional and personal attributes:

  • A strong educational background including an undergraduate degree and a minimum of 2 - 5 years of relevant experience.
  • Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees at all levels.
  • Ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
  • Excellent organizational, written, verbal skills.
  • Knowledge of the mutual fund business including products, compliance and administration. Knowledge of Federal Securities regulations, e.g., the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Exchange Act of 1934
  • Ability to evaluate federal laws and regulations.
  • Ability to collect and evaluate financial, transactional or other data to determine trends.

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