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Supervision Analyst

Supervision Analyst

Corebridge FinancialHouston, TX, US
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Associate Analyst

At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow. We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life :

  • We are stronger as one : We collaborate across the enterprise, scale what works and act decisively for our customers and partners.
  • We deliver on commitments : We are accountable, empower each other and go above and beyond for our stakeholders.
  • We learn, improve and innovate : We get better each day by challenging the status quo and equipping ourselves for the future.
  • We are inclusive : We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work.

About the Role

Under the guidance of a Senior Supervision Analyst, an Associate Analyst is expected to work toward becoming familiar with the firm's products, services, and systems while obtaining appropriate licenses to perform supervision and surveillance functions. Develop skills to assist in the analysis of associated persons' sales activity to identify trends and patterns, and complete secondary transaction review. Supervision Analysts collaborate closely with the firms various Compliance departments and field leadership to preserve the interest of our clients by detecting and mitigating conflicts of interest. A Supervision Analyst provides exceptional service and support to our business partners by delivering timely and thoughtful analysis of data collected in proprietary reports, surveillance systems and by individual referrals.

Responsibilities

  • Analyze, identify, and resolve complex issues discovered during routine surveillance.
  • Working with third party vendors, representatives, financial advisors, and internal business partners.
  • Respond to inquiries from compliance, field leadership, financial advisors and internal business partners regarding sales activity, policies, and procedures.
  • Participate in the creation and issuance of written procedures.
  • Communicate and escalate issues as appropriate to the Senior Management.
  • Stay current on regulatory trends in our business.
  • Manage priorities and deadlines, understanding the impact to other areas and proposing solutions with the greatest positive impact.

    • Preferred Skills

  • Excellent customer service and communication skills
  • Well organized and meticulous
  • 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 relations with external and internal business partners.

    • Skills and Qualifications

  • At least 2+ years of experience in Financial Services preferably in a supervision, compliance, or suitability review
  • FINRA Series 7 required.
  • FINRA Series 63, Series 65, or Series 66 preferred
  • FINRA Series 24 and Series 53 preferred
  • Must have the ability to obtain preferred licenses within 120 days hire.

    • Work Location

    This position is based in Corebridge Financial's Houston, TX office and is subject to our hybrid working policy, which gives colleagues the benefits of working both in an office and remotely.

    Why Corebridge?

    At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive. Benefit Offerings Include :

  • Health and Wellness : We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
  • Retirement Savings : We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
  • Employee Assistance Program : Confidential counseling services and resources are available to all employees.
  • Matching charitable donations : Corebridge matches donations to tax-exempt organizations 1 : 1, up to $5,000.
  • Volunteer Time Off : Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
  • Paid Time Off : Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.

    • Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy.

    We are an Equal Opportunity Employer Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building 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 colleagues are respected as individuals and valued for their unique perspectives. Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. 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, in accordance with applicable federal, state, and local law. We will consider for employment qualified applicants with criminal histories, consistent with applicable law.

    To learn more please visit www.corebridgefinancial.com

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