Compliance Manager

Company
AIG
Location
Houston TX
Salary
DOE
Posted
January 05 2019
Industry
Insurance, Securities
Functional Area:


CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company

We have an exciting opportunity for a Compliance Manager to join our team in Houston, TX. You will be a key contributor for coordination and execution of the compliance program for VALIC Financial Advisors, Inc. (“VFA”). You will be responsible for a variety for items supporting VFA under the direction of the Chief Compliance Officer.



Responsibilities:


  • Support the overall Compliance Program related to the operation of an SEC registered investment advisor and FINRA member Broker Dealer
  • Manage and maintain an effective policy and procedures program for the Firm
  • Respond to regulatory inquiries and exams
  • Act as liaison to internal assurance functions, including Internal Audit, Operational Risk Management and Monitoring & Testing
  • Manage Annual Compliance Risk Assessment for VFA Compliance
  • Manage Risk Incident and Risk Issue Reporting and overseeing identified remediation action plans
  • Manage regulatory change implementation for VFA
  • Create and disseminate training and awareness programs for employees
  • Act as liaison with the VFA Complaints team in the handling of escalated complaints involving financial advisors

Qualifications:


  • Bachelor's Degree preferred
  • 5-7+ years' compliance experience within the broker dealer, investment advisory, or similar environment is ideal
  • Series 7, 63/65 and 24 License is preferred, but not required
  • Experience in annuity products is preferred but not required
  • Experience in project management preferred
  • Must have up to date knowledge on regulatory trends and best practices
  • Strong verbal and written communication skills
  • Teamwork attitude is a must
  • Experience working with 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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