Sr. Compliance Analyst

Houston TX
November 22 2018
Insurance, Securities
Functional Area:

CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company

VALIC Financial Advisors, Inc. (VFA) has an exciting opportunity for a Senior Compliance Analyst to join the team. This person will work with partners throughout VFA to contribute, execute and deliver excellence as a valuable contributor to the Compliance Program. This person will have responsibilities for a variety of tasks supporting VFA under the direction of the Chief Compliance Officer.

Specific responsibilities will include:

  • Crafting responses to regulatory inquiries and requests and inspections
  • Offer education and guidance to the field as necessary
  • Assist in the review, approval and/or maintenance of various Compliance programs such including Firm Element, Outside Business Activities, Personal Securities Accounts, Annual Compliance Questionnaires, and Annual Compliance Meeting requirements
  • 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
  • Assistance with required regulatory filings
  • Assistance in administration of compliance policies and procedures

Job Requirements:

  • Strong knowledge of FINRA and SEC rules and regulations
  • Experience in annuity products is preferred
  • Must have strong verbal and written communication skills
  • Must be a team player
  • Self-motivated and able to work independently
  • Excellent organizational skills and ability to manage multiple priorities
  • 3-5 years' broker-dealer and/or registered investment adviser compliance
  • Experience working with various applications including Microsoft Office products
  • FINRA Series 7 & 24 licenses are preferred
  • Series 63, 65, or 66 preferred
  • 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.