2 Vice President, Field Supervision Jobs in Houston, TX
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Vice President, Field Supervision
$191k-284k (estimate)
Full Time
3 Months Ago
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Corebridge Financial is Hiring a Vice President, Field Supervision Near Houston, TX
Who We AreAt Corebridge Financial, Action is Everything. We are a new company, but not a new business. Formerly AIG Life & Retirement, we are one of the largest and most established providers of retirement solutions and insurance products in the United States, with a long and proven track record of serving our clients. Every day, we proudly partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow.
Summary Of The RoleThe Vice President, Field Supervision role reports to the President for VALIC Financial Advisors. This position has the responsibility of functioning as the chief supervisory officer for VFA's broker-dealer and testing and verifying that its supervisory procedures are designed to achieve adherence with VALIC Financial Advisor's compliance policies.
About The RoleIn this key role you will:
Create and update Supervisory Principal manuals and forms in coordination with Compliance.
Create and Provide training on supervisory topics, including creating content for the training meetings as well as hosting periodic supervisory principal calls.
Create consolidated processes across the distribution organization for supervisory principals on gifts and entertainments, sponsorships and contributions.
Create and present reports to executive management, including corrective action plans on first line of defense matter.
Assist with investigations and ensure timely response/closure of issues with Compliance team.
Assist Retirement Services' Compliance Department with ensuring that its supervisory principals are complying with the supervisory responsibilities noted in the Compliance Manual as well as FINRA statutes.
Review email escalations and ensure that Supervisory Principals are adequately executing their supervisory responsibilities.
Ensure branch offices meet FINRA requirements and work with the branch office examinations team on supervisory principal remediation.
Research relevant supervisory issues and rulings as well as regulatory trends with Compliance to strengthen knowledge within the distribution channel.
Work with management to help train, coach, evaluate, and supervisory principals to maintain the quality, effectiveness, and efficiency of our supervisory structure.
What We Are Looking ForBachelor’s degree.
10 years’ experience in Financial Services.
Must be detail-oriented, intuitive, innovative, and have the ability to handle a high volume of work independently.
Must have effective communication skills with the ability to articulate concern(s), both written and verbal.
Ability to analyze large amounts of data and to think through complex Compliance issues.
Must have FINRA Series 7 and 24 designations, or ability to obtain within 9 months of hire.
What our employees like most about working for Corebridge FinancialWe 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 Financial, will give you up to 16 hours a year paid time off to volunteer in the community.
Our people are at the forefront of creating value for customers and stakeholders and therefore we provide a generous benefits plan and competitive pay.
Benefit Package IncludesPaid Time Off (Corebridge Financial recognizes the importance of work life balance). We offer 24 PTO days to start. YES, 24! 17 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 Financial 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 TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis.
Functional AreaCP - Compliance
Estimated Travel Percentage (%): Up to 25%
Relocation Provided: No
American General Life Insurance Company
Summary Of The RoleThe Vice President, Field Supervision role reports to the President for VALIC Financial Advisors. This position has the responsibility of functioning as the chief supervisory officer for VFA's broker-dealer and testing and verifying that its supervisory procedures are designed to achieve adherence with VALIC Financial Advisor's compliance policies.
About The RoleIn this key role you will:
Create and update Supervisory Principal manuals and forms in coordination with Compliance.
Create and Provide training on supervisory topics, including creating content for the training meetings as well as hosting periodic supervisory principal calls.
Create consolidated processes across the distribution organization for supervisory principals on gifts and entertainments, sponsorships and contributions.
Create and present reports to executive management, including corrective action plans on first line of defense matter.
Assist with investigations and ensure timely response/closure of issues with Compliance team.
Assist Retirement Services' Compliance Department with ensuring that its supervisory principals are complying with the supervisory responsibilities noted in the Compliance Manual as well as FINRA statutes.
Review email escalations and ensure that Supervisory Principals are adequately executing their supervisory responsibilities.
Ensure branch offices meet FINRA requirements and work with the branch office examinations team on supervisory principal remediation.
Research relevant supervisory issues and rulings as well as regulatory trends with Compliance to strengthen knowledge within the distribution channel.
Work with management to help train, coach, evaluate, and supervisory principals to maintain the quality, effectiveness, and efficiency of our supervisory structure.
What We Are Looking ForBachelor’s degree.
10 years’ experience in Financial Services.
Must be detail-oriented, intuitive, innovative, and have the ability to handle a high volume of work independently.
Must have effective communication skills with the ability to articulate concern(s), both written and verbal.
Ability to analyze large amounts of data and to think through complex Compliance issues.
Must have FINRA Series 7 and 24 designations, or ability to obtain within 9 months of hire.
What our employees like most about working for Corebridge FinancialWe 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 Financial, will give you up to 16 hours a year paid time off to volunteer in the community.
Our people are at the forefront of creating value for customers and stakeholders and therefore we provide a generous benefits plan and competitive pay.
Benefit Package IncludesPaid Time Off (Corebridge Financial recognizes the importance of work life balance). We offer 24 PTO days to start. YES, 24! 17 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 Financial 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 TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis.
Functional AreaCP - Compliance
Estimated Travel Percentage (%): Up to 25%
Relocation Provided: No
American General Life Insurance Company
Job Summary
JOB TYPE
Full Time
SALARY
$191k-284k (estimate)
POST DATE
06/30/2024
EXPIRATION DATE
08/13/2024
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