Surveillance Manager (Broker-Dealer)

Company
AIG
Location
Houston TX
Salary
DOE
Posted
March 15 2018
Industry
Insurance, Securities

Functional Area:


CP - Compliance

Estimated Travel Percentage (%): No Travel

Relocation Provided: No

American General Life Insurance Company

We have an exciting opportunity for a Surveillance Manager to join our team! Reporting to the Chief Compliance Officer of our retail broker dealer, VALIC Financial Advisors, Inc., you will be responsible for overseeing subjective reviews including, but not limited to: Financial Advisor, Branch, Regional profile, Product profile, adherence to policy and procedure for cause and/or discovery.



Specific responsibilities will include:


  • Identify and assist in mitigating compliance risk
  • Coordinate daily operations for a team of analysts
  • Conduct staff performance evaluations and goal setting
  • Coach and mentor team of four analysts
  • Conduct annual testing of Surveillance Department process and procedures.
  • Deliver trend summaries for escalated reviews
  • Perform quality assurance for Surveillance deliverables
  • Manage training initiatives
  • Assist with regulatory and internal audits
  • Contribute to and participate in technology initiatives
  • Update/maintain/implement/test procedures
  • Build and maintain strong relationships with business partners
  • Communicate and escalate issues as appropriate to the Senior Management
  • Review current industry trends to help ensure proper checks and balances are in place

Job Requirements :


  • 5-7 years' experience in the financial securities industry
  • Must have knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds. Strength in variable annuities and mutual funds highly preferred.
  • Ability to analyze data and to think through complex Compliance issues.
  • Ability to interpret and apply Standard Operating Procedures, the Sales Practice Manual, FINRA/SEC/DoL rules, product prospectuses, Compliance notices and other regulatory publications.
  • Must be detail-oriented, intuitive, innovative, and have the ability to handle a high volume of work independently.
  • Must have effective communication skills with the ability to articulate concern(s), both written and verbal.
  • FINRA Series 7 and 24
  • Life, Health and Variable Annuity Insurance license(s) preferred
  • Proficient in MS Office Suite. Strong MS Excel proficiency is required
  • Bachelor's degree


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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