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Corebridge FinancialSee more

addressAddressHouston, TX
type Form of workFull-Time
CategoryInformation Technology

Job description

Senior Compliance Officer, Global Compliance Policies

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 portfolio of life insurance, 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 team of hardworking and passionate employees.

Get to know the business

Life and Retirement is a unique franchise that brings together a broad portfolio of life insurance, retirement and institutional products offered through an extensive, multichannel distribution network. It holds longstanding, leading market positions in many of the markets it serves in the U.S.

Corebridge Financial Global Legal, Compliance, Regulatory and Government Affairs department is comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization. The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge Financial policies & procedures. This is a global, diverse and award-winning team that has been recognized for its leadership and innovative solutions. You will also be able to participate in Corebridge Financial award-winning pro bono program.

About the role

Corebridge Financial Compliance is actively seeking a Senior Compliance Officer, Global Compliance Policies to assist in developing, implementing, and ensuring compliance with our global policies. Primary responsibilities will be to:

Anti-Corruption/Anti-Bribery
  • Anti-Corruption and Anti-Bribery policy ownership; Annual Reviews/Updates, Training, Escalations. Partner with CCOs/Legal on escalated cases; getting involved in on-boarding process re: anti-corruption related issues (e.g., hiring of government official or family member). SME to challenge Compliance Risk Assessment results.
  • Daily anti-corruption preapproval requests and tracking, tracking post approval requests, concur monitoring curing outliers. Working with internal counsel to determine reporting requirements; escalate to SME when needed. On point to assist with Compliance Risk Assessment - outlining controls.
  • Review escalated charitable contributions to ensure there are no Anti-Bribery or Anti-Corruption Concerns.
  • Requests for pre-approval of gifts, travel, other hospitality, or meals for Government Officials valued at more than USD $150 per person.
  • Assist with third-party due diligence review to ensure that there are no heightened anti-corruption risks.


Pay to Play
  • Pay to Play policy ownership, review/updates, communication to covered persons, L&R approval, relationship partner with outside counsel/Legal, partner with CCOs on requests that span securities/manufacturers and apply to securities, state and federal laws. Reporting in states where reporting is required. SME to challenge Compliance Risk Assessment results.
  • Pay to play monitoring and curing outliers, escalating to SME where needed, entering requests that don't come through Pay to Play SharePoint workflow tool. On point to assist with Compliance Risk Assessment - outlining controls.


Global Compliance Policies
  • Provide guidance on escalated matters arising from the Conflicts of Interest Policy and Code of Conduct.
  • Escalations from helpline and/or other whistleblower matters. Partner with Legal, HR, Investigations team when needed. On point to challenge compliance risk assessment results.
  • Provide advice and operational guidance to L&R's businesses and corporate functions on global compliance policies
  • Assist with the review and implementation of new technologies as they relate to global compliance policies
  • Participate in the development and implementation of compliance risk assessments and monitoring and testing to confirm compliance with L&R policies and procedures and legal and regulatory requirements.
  • Significant External Events reporting to Senior Management from an AML/Anti-Fraud/Anti-Corruption perspective
  • Review contract language for any Anti-Corruption and Anti-Bribery concerns
  • Handling of potential or actual violations of the Insider Trading policy or related issues/queries that arise.


What you need to know

The ideal person for this role should have relevant experience in records and information management compliance. Candidates will be expected to possess the following professional and personal attributes:
  • Minimum of 4 years of relevant experience required, such as relevant experience as risk officer or compliance officer in a corporate or consultant environment or experience with a law firm or in-house legal department.
  • Advanced degree preferred.
  • Experience with global legal and regulatory compliance frameworks. Insurance and/or financial services industry knowledge preferred.
  • Demonstrated ability to influence and work effectively within a highly-matrixed organization with employees at all levels.
  • Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
  • Ability to confront conflict and difficult issues in a professional, assertive, collaborative and proactive manner.
  • Excellent analytical skills, with an inquisitive mind to explore data and identify critical issues and trends.
  • Competency with Microsoft tools, including Word, Excel spreadsheets and PowerPoint, and other data repository and presentation tools.
  • Strong problem-solving and project management skills.
  • Excellent organizational, written, verbal, and presentation skills
  • in a professional, assertive, collaborative and proactive manner.
  • Excellent analytical skills, with an inquisitive mind to explore data and identify critical issues and trends.
  • Competency with Microsoft tools, including Word, Excel spreadsheets and PowerPoint, and other data repository and presentation tools.
  • Strong problem-solving and project management skills.
  • Excellent organizational, written, verbal, and presentation skills


What our employees like most about working for Corebridge Financial
  • We care about your professional development. Our career progression program will provide you with the opportunity to develop your skills, strengthen your productivity and be eligible to progressively advance to positions with an increased responsibility and increased compensation.
  • Our "Giving Back" policy is at the core of our daily operations and guides our future progress. Don't believe us? We put our money where our mouth is! Corebridge will give you up to 16 hours a year paid time off to volunteer in the community.
  • Our people are our most important asset therefore we provide a generous benefits plan and competitive pay.


Benefit package includes
  • Paid Time Off (Corebridge recognizes the importance of work life balance). We offer 24 PTO days to start. YES, 24!
  • 9 paid holidays per calendar year.
  • A 401(k) Retirement Plan which will be HARD TO BEAT. Our 401K - $1 for $1 match up to 6% with immediate vesting, plus Corebridge automatically contributes an additional 3% into your 401K regardless of if you enroll or not.


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.

Functional Area:
CP - Compliance

Estimated Travel Percentage (%): Up to 25%

Relocation Provided: No

American General Life Insurance Company
Refer code: 2329950. Corebridge Financial - The previous day - 2023-02-03 15:00

Corebridge Financial

Houston, TX
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