Job Description

Your future team

AIGs 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 AIG policies & procedures. This is a global, diverse and award-winning team that has been recognized for its leadership and innovative solutions.

Valic Financial Advisors, Inc., a division of AIG GLCR, has an opportunity for a Senior Compliance Analyst - Surveillance in Houston, TX.

The Surveillance Analyst reports to the Compliance Manager. This position has the responsibility of completing comprehensive reviews including, but not limited to, trends and pattern analysis of representative and firm sales behavior, special investigations related to representative behavior, development and implementation of exception reports, adherence to policy and procedure for cause and/or discovery. The responsibilities of the position will include the following:

* Identify and assist in mitigating compliance risk within the organization.
* Review Registered Representative(s) business for common risk and regulatory issues.
* Create summaries detailing VFA sales trends and patterns including, but not limited to: compliance with Regulation Best Interest, product concentration, sales concentration, suitability concerns, high rates of exchanges, replacements and rollovers, mutual fund activity, high rates of mutual fund switching, liquidity issues and the accuracy of documentation regarding expenses and the comparison of product features.
* Participates in the creation and issuance of written procedures and respective Compliance communications.
* Manage and maintain strong relationships with business partners.
* Communicates and escalates issues as appropriate to the Senior Management.
* Stay current on industry and regulatory trends.

What we are looking for

* 3+ years financial service industry experience - Compliance experience strongly preferred.
* Previous broker-dealer surveillance experience preferred
* Bachelors Degree in related field preferred
* FINRA Series 7 required.
* Series 24 and Series 63/65 or Series 66 are also required or must be able to obtain within 180 days of hire.

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.

To learn more please visit: https://www.aig.com/about-us/diversity-equity-and-inclusion

Functional Area:

CP - Compliance

Estimated Travel Percentage (%): No Travel

Relocation Provided: No

American General Life Insurance Company