VALIC Financial Advisors Senior Compliance Analyst

Houston TX
September 06 2018
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 Sr. Compliance Analyst to join our team!

You will work with the business and members of Compliance to assist in the execution of the annual Compliance Plan program of VALIC Financial Advisors, Inc. (VFA). You will be responsible for a variety of tasks supporting VFA under the direction of the Chief Compliance Officer.

Specific responsibilities will include:

  • Respond to regulatory inquiries and requests
  • Provide compliance education and guidance to the field as necessary and other daily compliance activities
  • Assist in the review, approval and/or maintenance of various Compliance programs such as: 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

Job Requirements:

  • 3-5 years' broker-dealer compliance or related experience
  • FINRA Series 7 & 24 licenses are strongly preferred
  • FINRA Series 65 and 66 licenses are strongly preferred
  • Bachelor's Degree preferred
  • Experience in annuity products is preferred
  • Must have strong verbal and written communication skills
  • Must be a team player
  • 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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