AVP Supervision

AVP Broker Dealer Supervision
Who we are
Corebridge Financial helps people make some of the most meaningful decisions they're ever going to make. We help them plan and take action to protect the future they envision, and respond to some of life's most difficult moments through the solutions and services we provide. We do this through our broad product portfolio of life, retirement, and institutional products, offered through an extensive, multichannel distribution network. We provide solutions for a brighter future through our client centered service, breadth of product expertise, deep distribution relationships and outstanding, hardworking and passionate employees.
About the Role
As the AVP of Broker Dealer Supervision, you will lead our Supervision organization comprised of more than 20 associates spanning 3 teams (Transaction Supervision, Post Transaction Supervision and Electronic Communication Supervision) within the dual registrant broker/dealer and registered investment advisor entity, VALIC Financial Advisors, Inc. (VFA). In this role the AVP plays a critical role in defining, implementing and directing initiatives to On behalf of VFA and in accordance with the risk management culture of the parent enterprise, Corebridge Financial. The AVP of Supervision will oversee, direct and the various Supervision teams that are responsible for:

• The approval and acceptance of securities, managed account and annuity transactions originating from approximately 1,000 registered representatives and investment advisory representatives (Field Advisors).
• The Interaction conducted directly with the Field Advisors via telephone and other media for a host of issues including but not limited to both Fiduciary and Regulation Best Interest -based approvals of new business submission while doing so with a
• Playing a pivotal role in the client experience by expeditiously reviewing and new business to achieve and sustain efficient turn-around-times.
• The analysis of historic transactions to identify and escalate trends and patterns that require further escalation.
• Execution of electronic communication review, issue escalation to front-line supervisors and collaboration with the legal, compliance and risk control functions to address any elevated issues.

The AVP of Supervision must have broad industry knowledge of regulatory trends, the ability to monitor and assesses the potential impacts to VFA and Corebridge and to create controls to safeguard against those and other internal risks. In this Role, the AVP must drive a service culture among the various that places a premium on productive and personalized interactions with the Field Advisors and Field management. Collaboration with the core VFA operations and product teams to develop training for Supervision Personnel regarding product launches or existing product enhancements is a critical element of the role. The AVP of Supervision will collaborate firm-wide to ensure that the Supervision Team personnel have detailed knowledge of the approved products and services offered by VFA and will deliver ongoing training and communication to maintain and enhance the knowledge required to administer the supervisory functions.
Responsibilities

• Provide support, training, coaching and development to Supervisory Team personnel
• Ensure compliance with FINRA, SEC and other regulatory and home office policies ensuring that updates to the Written Supervisory Policies and related control procedures are communicated to the Supervisory Personnel while assuring that they have a level of proficiency and subject matter command to conduct their functions.
• Respond to inquiries from representatives, financial advisors and internal business partners regarding supervision related policies and procedures.
• Partner with all levels of the organization to drive initiatives.
• Manage and maintain strong relationships with business partners
• Communicate and escalate issues as appropriate to the Senior Management.
• Stay current on trends in our business
• Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact

Preferred Skills

• At least 10 + years of experience in Financial Services preferably in a supervision or compliance capacity
• At least 5+ years of leadership and managerial experience with a focus on building culture and career development within the organization.
• In-Depth knowledge of investments and suitability.
• Extensive knowledge of securities products, FINRA, SEC and DOL regulations
• Excellent customer service and communication skills
• Well organized, detail oriented, strategic thinker
• Able to exercise independent thought and decision making
• Ability to work in a fast paced and ever-changing environment
• Strong presentation and business writing skills
• Demonstrated ability to manage multiple tasks and projects simultaneously, prioritize competing work efforts, manage time effectively and without supervision.
• Able to establish and maintain effective relationship with external and internal business partners

Qualifications and Education Requirements

• FINRA Series 7 required
• FINRA Series 24 Required

What our employees like most about working for Corebridge Financial

• Our Giving Back policy is at the core of our daily operations. Corebridge provides up to 16 hours of volunteer time off
• Our people are our most important asset therefore we provide generous benefits and competitive pay. Benefits include:
  • Paid Time off: 24 PTO days to start
  • 9 Paid holidays
  • A 401k which is HARD TO BEAT. $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% regardless of whether you enroll or not.

American General Life Insurance Company
We are an Equal Opportunity Employer
Corebridge Financial, Inc. its subsidiaries and affiliates are committed to be an Equal Opportunity Employer and its policies and procedures reflect this commitment. 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 such as sexual orientation. At Corebridge Financial, 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.
To learn more please visit: www.corebridgefinancial.com
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees with physical or mental disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to candidatecare@aig.com. Reasonable accommodations will be determined on a case-by-case basis.
We are an Equal Opportunity Employer
Corebridge Financial, Inc., its subsidiaries and affiliates are committed to be an Equal Opportunity Employer and its policies and procedures reflect this commitment. 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 such as sexual orientation. At Corebridge Financial, 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.
To learn more please visit: www.corebridgefinancial.com
Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees with physical or mental disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis.
Functional Area:
OP - Operations
Estimated Travel Percentage (%): Up to 25%
Relocation Provided: No
American General Life Insurance Company